Purpose and Objectives. Cornell s Philosophy on Discipline

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1 Purpose and Objectives PURPOSE This document is being provided to define effective and positive ways to correct performance and behavior through the use of the progressive discipline process. Cornell s Philosophy on Discipline It is the university's policy to use a corrective, rather than a punitive, approach to correcting unsatisfactory job performance or behavior. The focus is on initial coaching and counseling and the involvement of the staff member in identifying the problem and appropriate means of resolving it. The progressive discipline policy, #6.11.3, encourages informal resolution to problems, when possible. Initial counseling is an important part of the process; problems and concerns should be identified and addressed early in the process. If formal discipline is applied, the level of discipline should be related to the seriousness of the offense. The discipline policy applies to all nonacademic, exempt and nonexempt staff. Bargaining unit contracts independently define their agreement with the University for the delivery of discipline. Supervisors must provide prompt and clear performance expectations and allow reasonable time, if possible, for staff to correct problems. Prior to termination, it is important that staff understand through discussion as well as through documentation, as appropriate, that performance standards are not being met and that his/her job is in jeopardy. Progressive discipline is not intended to be a substitute for formal performance appraisals. A staff member's inability or unwillingness to maintain correct performance standards should be addressed through the use of performance appraisal techniques, but may ultimately result in disciplinary action.

2 Types of Disciplinary Actions Depending upon the seriousness of the performance problem or improper conduct, supervisors may begin disciplinary actions using any of the following types of discipline listed below. ORAL WARNING Oral warnings are appropriate for minor first offenses or to point out unsatisfactory performance to enable the staff member to improve or correct the problem. The supervisor's discussion with the staff members should include: The specific problem or performance deficiency Confirm actions that the staff member needs to take to correct the problem to avoid more serious disciplinary action; Outlines assistance and support to be given, if appropriate; Identification of the consequences of further conduct or performance inadequacies. WRITTEN WARNING (NEED CUFA HR REVIEW) Written warnings provide written documentation of earlier warnings, or it may be issued if the severity of an initial offense or misconduct warrants. To help the staff member correct the performance problem or avoid a recurrence of an incident, the document should provide the following information: The specific problem or performance deficiency A description of what must be done to successfully meet performance expectations or correct behavior Outlines assistance and support to be given, if appropriate A time line for improvement A schedule for subsequent meeting times to provide feedback Reference to any earlier corrective and/or disciplinary actions taken Identify the consequences of uncorrected behavior, i.e. if improvement does not occur, further disciplinary action, including termination of employment may happen.

3 TYPES OF DISCIPLINARY ACTIONS, CONTINUED FINAL WRITTEN WARNING OR SUSPENSION (NEED CUFA HR APPROVAL) Final written warning and suspension constitute the same level of discipline. Depending upon the nature of the offense, termination of employment usually follows either of these disciplinary actions. In either case, written documentation should inform the staff member that, absent positive change in performance or behavior, termination will result. Final Warning: This is a final written notice if sufficient progress in job performance has not occurred after prior warnings or in cases of serious misconduct. This level of discipline allows the staff member a final opportunity to consider whether he/she is committed to retaining their employment at the university by meeting performance expectations. The documentation should contain all the elements noted above, but the consequence of failure to make corrections or comply is termination. Suspension: Disciplinary Suspensions are used to address serious misconduct, violation of procedures, practices, or laws. They also may be used when oral and written warnings have not corrected deficient work performance or behavior or when the performance/behavior warrants a more severe discipline in the first instance. Supervisors must discuss with their local human resource representative plans to suspend staff members. Disciplinary suspension of non-exempt staff members: These suspensions are unpaid and, generally, range from one to three consecutive workdays in duration. In cases of severe infractions, longer suspensions may be given and scheduled at the discretion of the unit. Disciplinary suspension of exempt staff members: In accordance with the Fair Labor Standards Act, no exempt staff member may be subject to a suspension without pay unless it is in increments of full workweeks, except under limited circumstances. CUFA HR will consult with Staff and Labor Relations must prior to suspending an exempt staff member for less than one full workweek.

4 TYPES OF DISCIPLINARY ACTIONS, CONTINUED TERMINATION (NEED CUFA HR APPROVAL) Staff members who fail to correct performance deficiencies, or engage in serious misconduct should be terminated. In most instances, staff members should have been warned that their jobs are in jeopardy and failure to make corrections would result in termination. In cases involving certain levels of misconduct, the staff member may be terminated immediately. Prior to initiating such action, the supervisor and/or unit head must consult with the local human resource representative who, in turn, is expected to consult with Organizational Development and Employment Services in the Office of Human Resources. Following discussion with the staff member, a memorandum or letter, briefly documenting the reason for termination must be given to the staff member and a copy placed in his/her department file. Supervisors should request the return of all university property, including corporate credit cards, keys, ID cards, parking permits, computer equipment, etc.

5 The Progressive "Corrective" Disciplinary Model Termination Fully investigate Contact Local HR and/or Unit head, or OHR prior to acting Could suspend with/without pay pending investigation Termination Letter to staff member; copy to Department File/UPAF Final Written Warning Fully investigate Or Suspension Contact Local HR and/or Unit head, or OHR prior to acting Written Fully investigate Warning Letter indicates W.W. Oral First formal step Warning Corrective approach Coaching/ Informal corrective approach Counseling Fully investigate Meet with employee Promote positive dialogue Identify situation Identify concern Outline next steps Fully investigate Outline next steps Could suspend with/without pay May use final written warning (same level of discipline as suspension) Outline next steps Copy filed in staff record in department Copy filed in staff record in department Clearly state it is an "oral warning" Outline next steps Document for employee/dept record (optional)

6 Key Factors in Analyzing Disciplinary Concerns If a disciplinary action is warranted, consider the following factors before deciding on the disciplinary measure to be taken: 1. Seriousness of Problem: How serious is the problem? 2. Time Span: Have there been other discipline problems in the past, and over how long a time span? 3. Frequency and Nature of Problems: Is the current problem part of an emerging or continuing pattern of discipline infractions? 4. Employee's Work History: How long has the employee worked for the department and the university? What has been the quality of the employee's performance? What s in the file? 5. Extenuating Factors: Are there extenuating circumstances related to the problem? 6. Degree of Orientation: To what extent has the supervisor made an earlier effort to educate the person causing the problem about the existing rules and procedures and the consequences of violations? 7. History of Discipline Practices: How have similar infractions been dealt with in the past within the department? Local HR will determine how similar infractions have been dealt with at the college and/or university? Has there been consistency in the application of discipline procedures? 8. Implications for Other Employees: What impact will your decision have on other workers in the unit? 9. Management/Human Resource Officer Support: Do you have reasonable evidence to justify your decision? Do you have backing of higher management and CUFA HR Officer. Please Note: All disciplinary actions must be in accordance with the requirements of the Family and Medical Leave Act (FMLA), the Americans with Disabilities Act (ADA), anti-discrimination laws, and all university policies.

7 Procedures for Taking Disciplinary Action Supervisors should take the following steps when considering possible disciplinary actions: 1. Investigate the incident: Immediately after an incident happens, or immediately after learning of an incident, the supervisor must allow the staff member involved to tell his/her side of the story, as well as others who may have witnessed what occurred. Conduct a fair, objective, and complete investigation. It is important to consider all pertinent information and to reconcile any conflicting statements. Confirm whether the investigation revealed substantial evidence or proof that the staff member has failed to meet performance standards or has engaged in the alleged inappropriate conduct. 2. Consider past supervisory communication and administrative practices: Rules, policies, procedures, and expectations have been communicated verbally or in writing and are understood by the staff member. The staff member understands what is expected under the rule or policy in question. The staff member knew beforehand of the possible disciplinary consequences of misconduct or unsatisfactory performance? In cases of on-going performance problems, is there a factual written record showing the steps taken to correct the staff member's performance or improper conduct prior to taking this disciplinary action? Applicable rules, policies, and penalties are administered consistently and without discrimination for all staff. If the employee had or claimed to have had a disability, were adequate efforts made to accommodate the employee? Enforcement of expectations, rules, etc., does not place the staff member's health, safety, or dignity in jeopardy.

8 PROCEDURES FOR TAKING DISCIPLINARY ACTION, CONTINUED. 3. Consider the evidence and other mitigating factors: Review and weigh all the evidence obtained to decide if the offense warrants formal disciplinary action or, rather, training or other informal corrective action. Consider such factors as: the seriousness of the problem, the staff member's past record, whether the staff member has been disciplined in the past for the same offense and if so, how recently, etc. Consider the impact of any supervisory responsibilities listed above in item #2 that were not fulfilled. 4. Decide on an appropriate level of discipline, if it is determined to be warranted: Consult with the department head and/or the local human resource officer or a consultant in the central Office of Human Resources to review the details of incident and to ensure that there is support for the decision. The local human resource officer can help in evaluating the situation and in determining the appropriate level of disciplinary action. Additionally, they can help ensure that any disciplinary action administered is consistent with past practice involving similar performance and behavioral problems within the college, division or administrative unit. Ensure that the level of discipline fits the offense and is the minimum that is necessary to obtain the desired corrected job performance or conduct, i.e., it is not too severe in view of the nature of the offense and mitigating circumstances. 5. Meet with the staff member privately to administer the disciplinary action: A memorandum or letter must be given to the staff member to document the action taken. A copy of the disciplinary letter or memorandum must be retained in the departmental file. Advise the staff member of his/her right to appeal the disciplinary action through the non-academic staff complaint and grievance process (Policy ).

9 PROCEDURES FOR TAKING DISCIPLINARY ACTION, CONTINUED. 6. Initiate the appropriate online transaction If the disciplinary action is a termination, notify your HR representative who will ensure that there is a completed transaction in the university database. Review and organize staff member's department file to ensure that it is complete, including all disciplinary and supporting documents such as records of coaching, counseling, performance reviews, and development/ training activities are included. Retain on file for three years.

10 Key Points for Handling Disciplinary Meetings The supervisor should be careful to conduct a constructive disciplinary session with the staff member. Be sure to notify your local HR Officer who will advise on the necessary attendees. The following elements are necessary: 1. Always discuss the situation in a private place, out of the work area, without interruption, if possible. 2. The supervisor should specifically state in a concerned manner, the rule or policy which has allegedly been violated and when it was violated. 3. Consider the possible causes of the employee's behavior. 4. Attempt to surface as many facts as possible which are relevant to the problem. 5. When attempting to elicit the employee's view, draw out the employee as much as possible. 6. At some appropriate point, the supervisor should state his/her perception of the problem. The employee should then be asked whether he/she agrees with that perception. 7. There should be a statement of expected behavior. 8. What can I do to help you to resolve this problem? 9. What can the employee do to resolve this problem? 10. There should be an effort to establish a remedy for the situation. 11. A follow-up date to this meeting should be established to review whether the agreed upon remedy is being successfully implemented.

11 The Importance of Timely Documentation Provides a clear record of expectations and performance concerns Deters staff from repeating the same offense or committing others Notification of consequences should problem recur Assists university counsel in defending department s decision in court, before an arbitrator, or at an unemployment hearing Documentation written in advance of complaint is evidence and is preferable over memory (It may take months before a complaint reaches court.) Indicates supervisor is meeting his/her job responsibilities by addressing problems and taking disciplinary actions Helps supervisor who may be named as a defendant in a civil or administrative complaint Reduces the amount of time the supervisor may have to live with a problem

12 Writing Disciplinary Letters I. Purpose. The purpose of a disciplinary letter is to serve as a formal confirmation of discussion between the supervisor and the staff member of unacceptable performance or behavior. It describes clearly how the supervisor expects the staff member s performance or behavior to change. II. III. IV. Timing. The letter should be presented following an appropriate investigation. It should be given to the staff member during a private meeting where there is an opportunity for the supervisor and the staff member to discuss the contents and to clarify its meaning. If circumstances will not allow, it should be presented as soon as possible after the disciplinary meeting. Style. The style of the written letter should be: Clear Concise Complete Consistent Corrective Constructive Content. Statement of official warning with the date Statement of the problem and/or rule violated Statement of relevant facts Past work record (include previous relevant counseling and/or disciplinary action taken) Summary of type of behavior expected Statement of consequences in the absence of improvement Follow-up action to be taken (if any) In cases of suspension, date of return Indicate appropriate copies V. What Should Not be Included in a Disciplinary Letter. Don't threaten Don't overstate the case Don't be punitive

13 Preventive Steps to Assuring Effective Performance Often disciplinary action is the result of the absence of the elements below: Thorough interviews and thorough reference checks Adequate employee orientation Clear communication of: Work rules Policies Procedures Roles Responsibilities Expectations Coaching and counseling / employee development plan Reasonable learning and/or performance adjustment period Constructive correction of failures Continual feedback conduct performance dialogues Fair, consistent, and respectful treatment Recognition, praise and reward for achievements

14 Summary Take preventive measures before starting discipline i.e. employee orientation, communication, feedback, coaching, and counseling Meet with employee to discuss Analyze important aspects of the situation, i.e., the seriousness of the problem, employee history, upper level management support for your contemplated action, etc. Investigate carefully; gather and document relevant facts only. Consider whether the proposed discipline fit the offense or past practice? Issue discipline in timely manner Take time to plan disciplinary meeting Timely documentation Feedback and follow-up