Corrective Action & Discipline Employee Relations: John Robinson (801) 957-4212 John.Robinson@slcc.edu I. Support Set clear expectations make sure that employees know what is expected of them including all applicable policies, job duties, and standards. Assist employees in meeting expectations provide the appropriate resources. Give feedback on job performance, both positive and developmental. Do this continually throughout the year, not just during the performance evaluation meeting. Performance Evaluation (Performance Excellence Program) Follow the College s policy and procedure to complete and deliver the approved performance evaluation. The evaluation process will help you establish work related expectations, employee development goals, and plans for work performance enhancement and improvement. It will also serve as objective documentation of employee performance. II. Documentation Document anything that is outside of the normal work pattern. If an employee exceeds expectations, document the behavior and share positive feedback with the employee. If the employee is not meeting expectations, document the behavior and share developmental feedback with the employee. Include dates, times, and specifics. Document observable behaviors and outcomes. Add the names of witnesses if applicable. Get witness statements when appropriate. Label your notes as personal notes. These are for your own personal use to help you keep track of certain events that have occurred throughout the year. Keep these notes private and separate from the employee s departmental file. Utilize your notes for the performance evaluation and support for corrective action if needed. Retain all emails, notes, selection materials, and work product as appropriate. III. Corrective Action & Discipline A. Part-time Employee Concerns Address performance/conduct concerns with employee. Contact Employee Relations to Terminate employment for substantiated business reasons if performance and/or conduct is unacceptable despite reasonable attempts to correct behavior and in cases of serious misconduct. B. Probationary Employee Concerns Address performance/conduct concerns with employee. Contact Employee Relations to Terminate employment for substantiated business reasons if performance and/or conduct is unacceptable despite reasonable attempts to correct behavior and in cases of serious misconduct. Extend the new-employee probationary period when more time is needed to evaluate an employee s performance. (Requires HR Assistance)
Corrective Action & Discipline (continued) C. Regular Staff Concerns Full-time employees who have completed the new employee probationary period 1. Corrective Action Actions that address concerns before the concerns become more problematic. Efforts should be made to correct employee concerns with informal methods when possible. No document will be added to the personnel file as a result of informal corrective action. Corrective actions include: Coaching, Training, and Resetting Expectations. a) Coaching Observe and measure employee performance and then share both developmental and positive feedback with the employee. Offer guidance and resources based on the employee s needs. Meet with the employee regularly to discuss progress and to offer additional guidance if necessary. Holding regular one-on-one coaching sessions can assist with addressing performance issues before they become more problematic. b) Training Through observation and/or communication with the employee, determine training needs. Assess the cost of time and resources to determine feasibility of offering training. Implement and follow up to determine effectiveness. c) Resetting Expectations When expectations are not met, one method of addressing the problem is to put your expectations in writing and discuss them with the employee. The expectations should be clear and measurable. The employee should receive a copy of the expectations for future reference. Sometimes employees get off track and an expectations memo can help them focus on the important components of their jobs. 2. Disciplinary Action Disciplinary actions are employment related actions undertaken to correct or modify unacceptable job performance or behavior to acceptable standards. Possible disciplinary actions include: verbal warning, written warning letter, letter of probation, temporary reduction in pay, suspension without pay and termination of employment. When deciding the specific type and severity of discipline, in consultation with Human Resources, a supervisor may consider the following factors: (a) Consistent application of rules and standards; (b) Prior knowledge of rules and standards; (c) The severity of the infraction; (d) The repeated nature of violations; (e) Prior disciplinary/corrective actions; (f) Previous verbal warnings and discussions; (g) The employee's past work record; (h) The effect on College operations; (i) The potential of the violations for causing damage to persons or property; (j) Any other relevant information. 2 Corrective Action & Discipline
Disciplinary Action (continued) a) Verbal Warning When performance improvement efforts such as coaching and training have been exhausted or when a concern is more serious in nature, a verbal warning may be the appropriate action to take. Verbal Warnings should be based on objective, observable behaviors. Verbal Warnings can send a clear message to the employee that certain behavior is unacceptable and improvement is required. Verbal Warning Process Prepare what you will say before you meet with the employee Meet with the employee in a private setting Make it clear to the employee that you are giving him/her a verbal warning Describe the concern(s) and the resultant impact Include expectations and the outcome if the expectations are not met Document the time and date of the verbal warning and what was discussed If necessary, send the employee a follow up email or memo outlining the expectations from the warning in order to assist the employee in meeting the expectations Give the employee a reasonable amount of time to meet the expectations and then follow up on progress b) Written Warning Letter When informal corrective action and/or a verbal warning has not yielded acceptable results and in certain cases when taking informal corrective action would not sufficiently address the severity of the issue(s), the supervisor can work with Employee Relations to issue a written warning letter. A written warning letter is a formal notice to the employee that describes the concerns, attempts to correct the concerns, the impact the concerns have had on the department/college, expectations moving forward, and notice that further disciplinary action will be taken if expectations are not met. The supervisor will request the template from Employee Relations, create a draft, and send the draft to Employee Relations for review. Once the draft has been reviewed, the supervisor will set up a meeting with the employee and arrange for a confidential assistant to sit in as a witness. The supervisor will read the employee the letter, give a copy of the letter to the employee and submit the original to HR to be placed in the personnel file. The employee s copy will also include the employee grievance procedure as an attachment. Contact Employee Relations to initiate the written warning letter process. c) Letter of Probation When all prior efforts have failed to produce positive changes in employee conduct or performance the supervisor can work with Employee Relations to issue a letter of probation. This step is appropriate in cases involving serious misconduct or chronic performance problems after corrective action and/or disciplinary action (such as issuing a written warning letter) have failed to yield acceptable results. The letter of probation is a formal notice to the employee that describes the concerns, attempts to correct the concerns, the impact the concerns have had on the department/college, expectations moving forward, and notice that further disciplinary action up to termination will be taken if expectations are not met. It also sets forth a specific time limit, usually 6 months, for improvement. 3 Corrective Action & Discipline
Disciplinary Action Letter of Probation (continued) The supervisor will request the letter of probation template from Employee Relations, create a draft, and send the draft to Employee Relations for review. Once the draft has been reviewed, the supervisor will set up a meeting with the employee and arrange for a confidential assistant to sit in as a witness. The supervisor will read the employee the letter, give a copy of the letter to the employee, and submit the original to HR to be placed in the personnel file. The employee s copy will also include the employee grievance procedure as an attachment. Contact Employee Relations to initiate the letter of probation process. d) Demotion, Temporary Reduction In Pay, Suspension Without Pay Demotion, temporary reduction in pay (not to exceed 10%), and suspension without pay are additional disciplinary action options that may be used in certain circumstances. Contact Employee Relations to discuss these options. e) Termination of Employment When all efforts have failed to produce positive changes in employee conduct or performance and in cases of severe misconduct as noted in the Disciplinary Sanctions and Termination policy, the supervisor will work with Employee Relations to initiate the termination of employment process. The supervisor will request the template and draft a notice of intent to terminate employment which will describe the concerns, attempts to correct the concerns, and the impact the concerns have had on the department/college. The letter will also inform the employee that he/she can respond to the allegations in the letter by submitting a written response within three business days from the date the letter is issued. Additionally, a paid administrative leave letter will be drafted that will inform the employee that he/she will be on paid leave until the final determination is made. A meeting to deliver the notice of intent to terminate will be coordinated with employee relations. In some cases involving egregious behavior, the decision to terminate may be immediate. Contact Employee Relations to discuss the termination process. Before taking disciplinary action: Make sure that you have checked all of the facts and that you can support and defend your decision to issue disciplinary action. In cases of misconduct, make sure a fair and impartial investigation is conducted. In cases of poor job performance, make sure there are objective evaluations of the employee s performance clearly indicating why pursuing disciplinary action is appropriate. Review what disciplinary steps have been taken for other similarly situated employees in the department and ensure consistency. Make sure you have contacted Employee Relations. 4 Corrective Action & Discipline
Appendix 1 Tips for Writing a Disciplinary Action Disciplinary Action Should Always Include: Details of what occurred Previous attempts to correct the behavior The resultant impact that the behavior/conduct had on the department/college Details of when the employee was made aware of the expectations that have not been met (when applicable) Expectations moving forward (termination of employment excluded) Consequences of not meeting expectations (termination of employment excluded) HR Review before proceeding When writing a written warning or letter of probation: Do: Describe specific behaviors Share details Give dates/times Show policy violations Include training history Focus on observable behaviors Describe the impact and/or the potential impact that the behavior had on department/college Set clear, measurable, and realistic expectations Offer assistance on meeting expectations Share consequences of not meeting expectations Write so that a reader who is unfamiliar with your department can understand Don t: Speak in generalities Be vague Make assumptions of an employee s intent behind a behavior Share impressions or feelings Use departmental jargon Use derogatory or unprofessional language 5 Corrective Action & Discipline
Appendix 2 The Disciplinary Action Meeting: Prepare for the meeting: What will you say? What questions can you expect? Find a witness to sit in on the meeting typically a confidential assistant is the most appropriate witness. Set up the meeting in a private area away from other employees and students. Read the letter to the employee. Remain calm and professional. Focus on the behavior and the impact that the behavior has had on the department. Refocus the conversation back to the issues if the employee brings up unrelated information or discusses the conduct of other employees. If the employee brings up information regarding a serious health concern or a condition that may be covered under the ADA, refer the employee to the Benefits office and contact the Benefits office on your own to discuss the matter upon completion of the meeting. If the employee gets angry or abusive, end the meeting and contact Employee Relations. If the employee becomes aggressive or discusses violence, contact Public Safety. If the employee has questions about the disciplinary process or filing a grievance, have him/her contact Employee Relations. If the employee refuses to sign the letter explain that by signing the letter the employee is only agreeing that he/she understands the letter and have received a copy. If the employee still refuses to sign, write, Refused to sign, next to the employee signature line. Make a copy of the signed letter (including witness signature when applicable) for the employee and give him/her the copy at the conclusion of the meeting. Send the original document to HR for placement in the personnel file. Documentation Examples: Insufficient: He is not doing his job. Sufficient: Joe did not complete the quarterly budget report by the agreed upon deadline of October 25, 2012. He turned in the report on October 31, 2012 and it contained numerous formatting and grammatical errors. Insufficient: Lisa did a great job on the project. Sufficient: Lisa completed the budgetary project three days before the due date of October 15, 2012 which gave us additional time to prepare for the Director s meeting. 6 Corrective Action & Discipline