progressive discipline guide

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ProgressiveDiscipline

A Supervisors Guideto Managing Performance


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This Supervisors Guide Is A Publication Of:

Indiana University Purdue UniversityIndianapolis

Human Resources Administration

April 2006

For Questions or Additional Information Please Contact:

Employee Relations

620 Union Drive, Room 340 (UN 340)

Indianapolis, IN 46202-5168

Phone: 274-8931/ Fax: 274-5481

Email: [email protected] or [email protected]

www.hra.iupui.edu


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TABLE OF CONTENTS

I. Preface .................................................................................................................................1

II. Introduction ........................................................................................................................2

A. Purpose of Discipline ................................................. ....................................................... 2

B. Establishing the Ground Rules ....................................................... .................................... 2

III. Principles of Discipline .........................................................................................................3A. Progressive............................................. ........................................................ ..................3

B. Equitable Treatment....................... ........................................................ ...........................3

C. Past Practice.................................. ........................................................ ...........................4

1. Uniform Response............................................... ....................................................... 4

2. Recurring Situation ...................................................... .............................................. 4

3. Substantial Period of Time ...................................................... .................................... 4

4. Recognized.................... ........................................................ .................................... 4

D. Just Cause........................................................................................................................4

1. Adequate Warning ....................................................... .............................................. 4

2. Reasonable, Related Rules...................................................... .................................... 43. Fair Investigation........... ........................................................ .................................... 5

4. Substantial Proof... ....................................................... .............................................. 5

5. Equitable Treatment and Past Practice.................. ....................................................... 5

6. Appropriateness of Discipline ................................................. .................................... 5

IV. The Steps of Progressive Discipline ......................................................................................6

A. Importance of the Probationary Period...... ........................................................ ..................6

B. Counseling........................................................................................................................6

C. Oral Warning......................... ........................................................ .................................... 6

D. Written Warning.................... ........................................................ .................................... 7

E. Suspension ........................................................ ....................................................... .........8

F. Suspension Subject to Termination...................... ....................................................... .........8

G. Termination.................................... ........................................................ ...........................8

H. Timeframes.................. ....................................................... .............................................. 9

1. Timeliness of Disciplinary Action .............. ............................ ....................................9

2. Time Between Disciplinary Actions ................................................. ...........................9

3. Time to Correct the Problem Use of Target Dates......................................................9

V. Administering the Discipline ................................................... ............................................ 10

A. The Investigation............................................... ....................................................... ....... 10

1. Representation .................................................... ..................................................... 10

2. The Investigatory Meeting ...................................................... .................................. 10

B. Documenting the Discipline...................... ........................................................ ................ 10

1. The Past .................................................... ....................................................... ....... 10

2. The Present................................................ ....................................................... ....... 10

3. The Future....................................... ........................................................ ................ 10

C. Informing the Employee................................................................................... ................ 11


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TABLE OF CONTENTS (Continued)

VI. The Employees Right to Appeal Disciplinary Actions ...................... .................................. 12

A. The Problem-Grievance Procedure ................................................. .................................. 12

1. Settlement on a Merit Basis .................................................... .................................. 12

2. Settlement at the Point of Origin ...................................................... ......................... 123. Promptness of Action at Each Step..................................................................... ....... 12

B. Managements Burden of Proof ...................................................... .................................. 12

1. Relevance.................................................. ....................................................... ....... 13

2. Materiality ................................................. ....................................................... ....... 13

3. Competence...................................................................................................... ....... 13

4. Best Evidence ..................................................... ..................................................... 13

C. Handling a Grievance ................................................. ..................................................... 13

Appendices

A. Supervisors Checklist ................................................ ..................................................... 14

B. Oral Warning..................................................... ....................................................... ....... 16C. Written Warning ................................................ ....................................................... ....... 18

D. Letter of Suspension ................................................... ..................................................... 20

E. Letter of Termination .................................................. ..................................................... 22

F. Letter of Suspension Subject to Termination................. ............................ ......................... 24


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PREFACE

This guide describes the basic elements of a sound

progressive disciplinary system and is intended asa supervisory guide for determining when

discipline is necessary, what level of discipline isappropriate, and how to administer discipline.

The principles of progressive discipline, equitabletreatment, past practice, and just cause are set

forth. Each step of progressive discipline detailshow to evaluate a situation prior to taking anydisciplinary action, including the investigation

process. The guide also outlines the employee'sright to appeal disciplinary actions. A checklist of

questions is provided to help guide you throughthe disciplinary process, and a series of sampledisciplinary letters is also included.

Two important issues need to be emphasized.

First, although the bulk of the guide addressescases which stem from a series of events leadingto discipline, such as poor work performance or

poor attendance, there are times when majorinfractions occur which require movingimmediately to a suspension or discharge. There

are also times when a step may be repeated orskipped. It is advisable to contact Human

Resources Administration when these situations

occur. Second, the level of responsibility or typeof position within the university is a critical

criterion in applying the concepts of progressivediscipline in any given case.


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INTRODUCTION

Purpose of Discipline

Discipline in its literal sense is training that corrects,molds, or improves, and its purpose in the workplace isto correct, mold, or improve job-related performance or

behavior. Discipline is to be progressive in nature sothat it uses the least severe action necessary to correctundesirable behavior and moves to increasingly severemeasures only if the problem is not corrected. Thesesteps include an oral warning, a written warning, asuspension, and a termination. With the exception ofthe final step, disciplines primary objective is tocorrectnot punishthe employee. When properlyadministered, progressive discipline benefitsmanagement and employees and satisfies the scrutinyof third parties (unions, EEOC, arbitrators).

For management, progressive discipline maintainsorder and enforces university rules. It affects employeemorale and productivity positively, it helps rehabilitateemployees who choose to correct their behavior, and ithelps to terminate employees who dont.

For employees, progressive discipline sets clearstandards and warns of consequences fornoncompliance; it assures predictable , progressive, andequitable treatment; it promotes fair decisions; and it

provides a process to appeal disciplinary decisions.

For third parties, properly applied discipline meets thetest of just cause and satisfies the requirements for

progressive, nondiscriminatory, fair, corrective, andconsistent decisions.

Establishing the Ground Rules

As a supervisor, you have inherent responsibilities topromote positive employee morale and to maintain aproductive work force. Vital to meeting these

responsibilities is the effective handling of discipline;however, these responsibilities begin long before anydisciplinary measures are actually necessary. They

begin by establishing the ground rules by which

employees are expected to conduct themselves.

Not all work environments are identical; therefore, oneset of rules will not apply to all work groups.Supervisors must know the rules that apply to their

particular work group, as well as any unwrittenpractices that have become commonplace. Bothexisting and newly created work rules should be clear,reasonable, and understandable. Employees are moreapt to conform to rules that are understood and that are

reasonable than to those that are not. All rules andpractices should be reviewed regularly and updated ifnecessary.

You should not assume employees will learn rules byword of mouth. Initially, work rules may becommunicated orally, but it is necessary to reinforcethis communication in writing. Announcements innewsletters and notices on bulletin boards are the mostcommon forms of communication and may befollowed up by inclusion in policy manuals andemployee handbooks. Once published and posted,

copies of rules and policies should be accessible tomanagement and employees at all times to encouragean atmosphere of open communication and prevent

policies from becoming sacred documents.

Supervisors who enforce work rules consistently andwithout discrimination gain the respect andcooperation of their employees; however, this respectcan be quickly lost if some employees are allowed tobend the rules. Being overly lenient or overlookingrules altogether not only invites disrespect; over a

period of time, rules become dormant and

unenforceable. To enforce a dormant work rule, therule and the consequence of infraction must becommunicated to employees again.

By establishing clear, reasonable, and understandablework rules, communicating the rules to employees, andapplying the rules consistently, you are setting thestandards for employee performance and behavior. Asone might expect, not every employee will measure upto performance standards or comply with establishedwork rules. When this occurs, your responsibility is totake the necessary progressive disciplinary action.


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PRINCIPLES OF DISCIPLINE

If discipline is to be effective and accomplish itsintended purpose, that is, to correct employee behavior,it has certain fundamental characteristics. Disciplinemust be progressive; it must consider past practice andequitable treatment; and it must meet the test of just

cause.

Progressive

The principle of progressive discipline involvesinforming the employee of the problem and the need tocorrect it, and then using increasingly severedisciplinary measures if the employee fails to correctthe problem. In most situations the problem will first

be brought to the employees attention with acounseling session. This initial counseling is not

considered part of the formal disciplinary system, andit should impress upon the employee the importanceand necessity of correcting the problem. Mostemployees will correct the problem through suchcounseling; however, if the problem continues,discipline is initiated as an oral warning. For a problemthat persists, the next step is a written warning. If the

problem still is not corrected, a stronger warning isimposed as a suspension. It this sequence of

progressive disciplinary steps has not brought about therequired changes, termination is consideredappropriate.

There is an expectation that counseling will precedethe formal disciplinary process. This formal processincludes an oral warning, a written warning, asuspension, and a termination. For most problems,each step in the complete process is necessary;however, for more serious problems the earlier stepsmay be eliminated. The degree of discipline taken must

be relative to the seriousness of the offense and theemployee's record and should be the minimum levelnecessary to bring about correction of the problem. If itis not corrected, more severe action will be taken, up to

and including termination. In this sense, the employeeactually fires himself because it is theemployee whohas control over whether the progressive disciplinary

process continues or ceases.

Other factors to consider are the level of theemployees position and the type of position; forexample, managers and supervisors are held to higherstandards of performance and behavior. Terminationmay result if the employee has been provided a

reasonable opportunity to correct the problem and hasfailed to do so.

Equitable Treatment

Each disciplinary problem is unique and may requiresome flexibility in order to attain the best solution;however, it is important not to overlook the principleof equity or fairness. This principle implies thatemployees insimilarcircumstances should be treatedin asimilarmanner. Equity does not imply you shouldalways give the identical discipline to the sameoffense. In other words, discipline does not have to beidentical to be fair. At times it is necessary to treatemployees differently to be fair because differentdegrees of guilt, employment records, disciplinary

histories, levels of responsibility or types of positionswithin the university affect the level of discipline.Judgment and discretion are critical in applyingdiscipline fairly. For example, two employees whocommit the same offense should not receive theidentical discipline if they are at different steps of the

progressive disciplinary process.


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Past Practice

Closely related to equitable treatment is the principleof past practice. By definition, past practice is areasonably uniform response to a recurring situationover a substantial period of time which has beenrecognized, implicitly or explicitly. A review of thesefour components will determine if a past practiceexists.

Uniform Response. Are employees in similarcircumstances being treated in a similar manner? If so,then a uniform response exists. Note that the wordsimilarnot identicalis used. There may bedifferences in employees levels of responsibility andtypes of positions or in their records, e.g., length ofemployment, performance record, and disciplinaryrecord, which justify a different response. If there have

been varied responses to similar situations , no pastpractice exists.

Recurring Situation. Does a same or similarsituation arise repeatedly? If so, a recurring situationexists. If the situation varies over time, it is not arecurring situation.

Substantial Period of Time . Has a situation recurredover a considerable length of time? Once or even twicedoes not create a past practice; however, there is nowell-defined rule as to how many times a situationmust repeat itself to become a past practice.

Recognized. Have your employees come to expect aparticular response?This recognition does not have toexist in writing, but there should be general knowledgeand acceptance of a situation.

If all four components are present, a past practiceexists; if not, a past practice does not exist. Alwaysconsider past practice when disciplining an employee.If it is determined a practice needs to be changed,advance written notice must be given to employees thatthe practice will no longer continue and will bechanged. A break-in (adjustment) period may be

advisable. Without sufficient warning to employeesthat new standards will be enforced, a disciplinaryaction may very well be overturned.

Just Cause

Perhaps one of the most crucial principles necessaryfor a sound disciplinary system is that of just cause.Disciplinary actions taken with even one of theelements of just cause missing may lead toquestionable disciplinary actions and possible reversalof your decisions.

There does not appear to be a precise definition of justcause; however, a common law has developed overthe years which consists of a set of guidelines orquestions to be applied to each case. The acceptanceand use of these guidelines have set the standard of justcause. In general, the lack of any of the followingguidelines or a no response to any of the testquestions should certainly alert you to review the entiresituation before proceeding with disciplinary action.

Adequate Warning. Did the employee know or

should the employee have known that the behaviorcould result in disciplinary action? As mentioned

previously, in your role as a supervisor, you mustcommunicate work rules to employees, as well as theconsequences for noncompliance. It must be noted,however, that the lack of this explicit communicationwill not always lead to a no response to this question.In some cases it is the employees responsibility toknow that certain actions are unacceptable and willresult in disciplinary action. Insubordination, fightingon the job, coming to work intoxicated, drinking on the

job, and theft of university property are examples of

certain offenses we consideras a societyto beunacceptable and expect severe disciplinary action to

be taken.

Reasonable, Related Rules. Was the rule or orderreasonable, safe, and related to university needs?Written rules usually pass this test; it is the on-the-spotorder that most often creates a problem. Even so,except in cases of immediate danger to ones healthand safety, an employee generally must follow thework now and grieve later approach. Disobeyingeven an unreasonable rule may be cause for

disciplinary action.


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Fair Investigation. Did you conduct a thoroughinvestigation of the facts and circumstancesincludingthe employees explanationprior to administeringdiscipline? This requires you to actively seekinformation in a fair, objective, and nondiscriminatorymanner, not just passively wait for people to comeforward and volunteer information. In addition, yourinvestigation should be documented in writing.

There may be situations where the employee must beremoved immediately from the workplace. In theseinstances, the employee is suspended pending theresults of your investigation. This is done with theunderstanding that a final decision will be made afterthe investigation; and, if there is no case, the employeemay receive pay for the lost time. See the SupervisorsChecklist (Appendix A) which includes a guide forconducting the investigation.

Substantial Proof. Is there substantial proof for your

case? Substantial evidence or proof of guilt must existto clearly establish that the employee did, in fact,violate the work standard or rule. This evidence can bedocumented or witnessed but cannot be rumor,unsupported accusations, or superficialallegations.

Equitable Treatment and Past Practice. Have therules, orders, and penalties been consistentlyenforced? Employees in similar situations should betreated in a similar manner. Exceptions to past practiceand equitable treatment are justified when employeeshave different degrees of guilt, different disciplinary

records, or different levels of responsibility and typesof positions.

Appropriateness of Discipline . Was the disciplinerelated to the seriousness of the offense, to theemployees record, and to the employees level ofresponsibility within the university? This questionincorporates the principle of progressive discipline.Generally, minor offenses and first occurrences shouldresult in less severe discipline; major offenses andrepeat occurrences should result in more severediscipline.

Together, these six elements and test questionsconstitute the principle of just cause. They alsoincorporate the other basic principles of a sounddisciplinary system; namely, progressive discipline,equitable treatment, and past practice. While this iscertainly not a precise definition, a yes response toall six questions will lead you to the inevitableconclusion that just cause for discipline does exist.


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THE STEPS OF PROGRESSIVE DISCIPLINE

There are no formulas or set rules that will apply to allsituations and give you the answer to the properdisciplinary step to take. Each disciplinary action willdepend upon the nature of the offense and the relatedcircumstances. Regardless of the action you take, at

each step you must identify: 1) the problem that needsto be corrected, 2) your expectations for correction ofthe problem, and 3) the consequences for notcorrecting the problem. The employee has the right to

be informed of these three components.

Importance of the Probationary Period

The university has established a probationary periodfor all newly-appointed employees. This probationary

period is an important element in any successful

employer/employee relationship.

The purpose of the probationary period is to assure youthat the employee can satisfactorily fulfill the demandsof the position. The employee's work performanceshould be monitored throughout this trial period andmeasured against the department's policies, procedures,work rules, and performance standards. If you see oranticipate a problem developing, deal with itimmediately. Inform the employee there is a problem,give the employee reasonable time to correct the

problem, and tell the employee the consequences of not

correcting the problem.

If, after this, the employee still is not measuring up,you may elect to extend the probationary period orterminate the employee. For a probationary employee,it is not necessary to take the full sequence ofdisciplinary steps before making either of thesedecisions; however, you must notify the employee inwritingof your decision. The written notificationshould contain the same basic elements as described inthe section titled Documenting the Discipline. If the

probationary period has been extended, it is

recommended that a specific date be identified. If thetermination will occur, a one-week notice isrecommended. The termination letter may includespecific details of this notice period. If the probationary

period is satisfactorily completed, notify the employee.You may want to use this as an opportunity to providefeedback. Once the probationary period is

completed, the employee cannot be placed on

probation again as a disciplinary action.

The importance of the probationary period is readilyapparent. It is a trial period, and disciplining anemployee during this period is a shortened process.Conversely, disciplining an employee who hascompleted the probationary period is a much longer

and more complex process.

Counseling

If an employee has completed the probationary periodand a problem develops, you should counsel theemployee by meeting to discuss the problem. Thiscounseling session is usually informal and is notconsidered part of the formal disciplinary process. Thediscussion should impress upon the employee theimportance and necessity of correcting the problem.

Unlike the formal disciplinary process, counseling doesnot include a warning or consequences for notcorrecting the problem. This discussion does not needto be documented; however, if you wish, you may wantto make a few anecdotal notes foryourfile.

Oral Warning

This is the initial step of progressive discipline, and itis used when the problem persists after you have

brought it to the employees attention throughcounseling. Whenever the situation permits, it is best to

prepare for the discussion. This preparation shouldinclude a review of your anecdotal notes, any otherdocumentation related to the problem, and applicableuniversity policy. You may also want to review thesituation with your supervisor or Human ResourcesAdministration. It will be helpful to know the answersto the following questions:

What are your expectations? What commitment will you accept?

What are your timeframes? What reaction do you expect from the

employee?

How will you respond to the anticipatedreaction?

What are the next steps?


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Notes made as you plan the meeting can serve as anoutline to guide your discussion and keep it focused onyour objective.

Setting the climate for the meeting is an importantfactor in the success of your discussion. What is yourframe of mind? If you are angry or frustrated, it is best

to delay your discussion. It is important for you tomaintain a problem-solving attitude and strive to be asobjective as possible. Whether spur-of-the-momentor after-the-fact, the oral warning is given in a

private setting, without interruptions. Foster a feelingof mutual respect by giving the employee yourundivided time and attention. The discussion isconducted in a friendly but firm, formal but non-threatening, low-key manner. You may want to referto your notes, but try not to be mechanical or read froma piece of paper.

Begin the meeting by being direct and straight to thepointstate the purpose of the discussion. Identify theperformance that needs to be corrected by outliningspecific, work-related problems. Avoid statements assuch, Youre always late or Your performance isgetting worse; instead use facts and examples ofspecific incidents. If this is not the first time the

problem has been addressed, review the history andremind the employee of previous discussions andaction taken. Explain why you are concerned about the

problem and the effect it has on productivity, morale,patient care, or customer service.

After you have identified the problem, provide theemployee with an opportunity to explain, to respond, toask questions, and/or to give information about whatyou have just said. Be prepared for a reaction whichcan range from acceptance to anger, silence, blame,denial, rationalizing, tears, or excuses. This step isimportant to uncover any new and additionalinformation; and by considering the employeesviewpoint, it promotes a sense of fairness. Fairness isreinforced by actively listening and responding withempathy and understanding, but this does not mean

you are in agreement with the response. Be aware ofhidden agendas by listening with a third ear, i.e.,what wasnt said?

Once the problem is recognized and an explanationprovided, identify your expectations for correcting theproblem. Emphasize that change is necessary. It is theemployees responsibility to solve the problem (notyours), although you may work together to find a

solution. Agree on a list of actions and encourage theemployee to make a commitment.

The most difficult part of the discussion is to identifythe consequences if the problem continues. It isimportant for the employee to know the seriousness ofthe situation and the possible disciplinary action that

may follow if the problem is not corrected. Thismessage may be softened by emphasizing thatconsequences will occur only if there is not enoughimprovementthe employee determines the outcome.Finally, conclude the meeting on a positive note byexpressing confidence in the employee to achieve thenecessary changes. Acknowledge the difficulty of thesituation and offer your support in any way you can.Set a future date to review the situation and, in themeantime, provide feedback on the employees

progress toward fulfilling the commitment.

The purposes of this discussion are to alleviate anymisunderstanding and to clarify the direction fornecessary and successful correction. Most discipline

problems are resolved at this stage. If the problemcontinues, you may want to repeat this step before

proceeding to a written warning.

The oral warning is considered the first step inprogressive discipline, and it is used to bring a problemto the attention of the employee before it becomes soserious that it has to become part of the employees

permanent record. It is not necessary to document the

oral warning; however, if you choose, for clarificationand documentation at a later date, a brief statementciting the mutually identified problem and solution can

be noted on your calendar or in a short memo toyourfile.

Written Warning

When the employee has not satisfactorily corrected theproblem as outlined during the oral warning and whenmore corrective action is considered necessary,

proceed to the next step: a formal written warning. Awritten warning may also be the initialdiscipline incases of a more serious nature.

The process is essentially the same as in the oralwarning step, and a similar discussion should take

place. Make every effort to ensure that the employeehas a complete understanding of the expectations andthe consequences if the problem is not corrected.After


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this discussion, compose the written warning letter todocument the discussion. The written warning includesa review of any prior related disciplinary action taken,a thorough statement of the circumstances causing thecurrent disciplinary action, and a clear picture of futureexpectations. See the section titled Documenting theDiscipline for more detailed information. Sample

letters are provided in the back of this guide.

Suspension

Suspension is the last corrective step in the disciplinaryprocess and is normally preceded by an oral warningand a written warning. In a few extremely seriouscases, suspension may be warranted as the initial stepin the disciplinary process. Contact Human ResourcesAdministration if you are considering suspension as thefirst step.

A suspension involves the temporary removal of theemployee from the workplacewithout payfor aspecified period of time. The employee does not accruevacation and sick leave benefits during thisnonworking, non-paid period of time. Again, the

purpose of this disciplinary step is to correct theidentified problem. A suspension is the strongestwarning to the employee that the problem is, indeed,extremely serious, and it is the last chance theemployee has to correct the problem.

The length of the suspension is determined by thedepartment and may range from one to five workingdays. Most suspensions average three working days. Asuspension longer than five working days may beimposed, but review the relevant facts with HumanResources Administration first. It is important to notethat the length of the suspension is not as critical as the

step of suspension.

As in the previous steps, hold a private discussion,review the situation, and seek the employee's input.Then summarize the discussion in writing. See the

section titled Documenting the Discipline for moredetailed information.

The suspension letter includes the specific days of thesuspension as well as the date and time the employee isexpected to return to work. Sample letters are providedin the back of this guide.

Note : Due to their exempt status, salaried employees(PAE/PB) cannot be suspended without pay except for

workplace conduct violations which do not includeperformance or attendance issues. In lieu ofsuspension, salaried employees should be given a finalwritten warning. Like the suspension, the final writtenwarning is the last corrective step of the disciplinary

process, and the employee must be informed that it isthe final step prior to termination.

Suspension Subject to Termination

There are incidents that are so serious that theemployee may be terminated without going through thefull sequence of progressive discipline steps.

Some examples of such incidents include absences offive consecutive work days without proper notice tothe supervisor, willful destruction of university

property, theft, and falsification of time sheets or other

university records. When these types of incidentsoccur, the employee is suspended without pay for fiveworking days, pending an investigation and subject totermination.

This suspension allows for a cool down period toconduct a thorough investigation and carefullyconsider whether termination is appropriate. It iscritical during this suspension period to give theemployee an opportunity to hear the charges,understand the evidence, and offer an explanation. Ifthe employee fails to take advantage of this

opportunity, you may proceed with the case. At theend of the investigation, inform the employee of yourdecision either through a meeting or via certified mail.If you determine the case does not warrant termination,the employee may be paid for all or some of the timeoff depending upon the circumstances.

Note : Due to their exempt status, salaried employees(PAE/PB) cannot be suspended without pay except forworkplace conduct violations. If the severity of thesituation is such that a salaried employee must beremoved from the workplace, contact Human

Resources Administration.

Termination

If all of the previous steps have been fruitless, theemployee may be terminated from employment.Termination is the final step in the progressivedisciplinary process and obviously is not corrective.


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Thoroughly investigating the situation and allowing theemployee an opportunity to explain is particularlycritical at this step. Review the results of yourinvestigation and a drafted letter of termination withHuman Resources Administration and obtain approvalto proceed with the termination. The termination letteris brief and to the point; it should include the reasons

for termination, the effective date of the termination,and details regarding the notice period, if any.

Next, determine a date and time to inform theemployee of your decision. As a general rule, atermination meeting should be held in the early part ofthe week and early part of the day. Notifying anemployee of termination at the end of the day or priorto a weekend or holiday does not allow the employeean opportunity to seek guidance from other universityoffices regarding the situation. It is a good idea tohave another member of management present during

termination meetings. In the meeting, explain thedecision to terminate briefly and clearly; then state thespecific reasons for the termination. Dont be temptedto soften the message by offering compliments orcommenting on good performance. This sends a mixedmessage and may confuse the employee. It may also

be the only thing the employee hears and will givecause to question and challenge your reasons fortermination. Provide the employee with the letter oftermination and review the remaining items on the

Termination Checklist (www.hra.iupui.edu).

You are not required to give a two-week notice oftermination (or any other amount of notice time);however, if you do, it is recommended that you review

performance expectations during the notice period withthe employee. If expectations are not met, or

problems develop, the notice period can be withdrawn.In some situations, it may be appropriate to offer theemployee an opportunity to resign in lieu oftermination. Discuss this option with HumanResources Administration prior to meeting with theemployee.

After the meeting, complete your notes bydocumenting what was said and done in the meeting.

Time Frames

The concept of time occurs at three points within thedisciplinary process: timeliness of the disciplinaryaction, time between disciplinary actions, and the timegiven to the employee to correct the problem.

Timeliness of the Disciplinary Action. There is nouniversally accepted rule on this point; however, thereis an expectation that you will administer discipline assoon as possible after the problem occurs. As a rule ofthumb, it should not take more than ten days tocomplete the investigation and administer anyappropriate discipline after the incident or after you

learn about the incident. If more time is needed, youshould inform the employee that an investigation isstill underway and provide a date by which a decisionwill be made.

Time Between Disciplinary Actions . Underuniversity policy progressive discipline is consideredsuccessful if no further discipline is necessary for atleast 12 months. The disciplinary record is notdestroyed after a year, and it may be considered iffurther discipline becomes necessary at a later time.However, the last step taken may have to be repeated if

more than a year has passed. In some cases whenseveral years have passed, it may be appropriate to go

back to the oral warning step of progressive disciplineand begin again.

There is no minimum time between disciplinary steps.You need to allow enough time for the employee tocorrect the problem. This may be immediately, a week,a month, or several months, depending upon the natureof the problem.

Time to Correct The ProblemUse of Target

Dates. In situations in which the employee can solvethe problem promptly, such as attendance problems orsloppy work, communicate your expectations that theemployee must immediately achieve and maintain acceptable performance standards to avoid furtherdiscipline.

If you should set a target date, you may inadvertentlyhamper your flexibility and commit yourself to startover or repeat a disciplinary step if the problem recursafter the target date. For example, if you tell anemployee that one more absence occurrence in the next

month will lead to discharge, you are restricted fromcarrying through if that day occurs five weeks fromnow.

In situations in which the employee needs to develop askill or learn a procedure, it may be appropriate to set adate when the situation will be reviewed. But evenhere, once the skill has been learned, it is appropriateto communicate the expectation that acceptable

performance levels must be maintained.


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ADMINISTERING THE DISCIPLINE

The Investigation

A most critical element in each disciplinary step is

your investigation before administering discipline, andit is also one of the tests of just cause listed on Page 5.It makes sense to provide the employee an opportunityto hear the charges, understand the evidence, and offeran explanation before the termination occurs. In otherwords, the employee should be given an opportunity to

present the other side of the story. It is a goodmanagement practice to extend this opportunity at alllevels of discipline.

Representation. When you schedule a meeting todiscuss the case, tell the employee it is part of your

investigation and may lead to discipline. This allowsthe employee to make arrangements to have arepresentative present, if desired. It is not necessary toinform or remind the employee of the right torepresentation, but if it is requested, it is required thatyou give the employee an opportunity to obtainrepresentation. Should a representative not beavailable, you may proceed. The representatives roleis to assist the employee in understanding the basis forthe disciplinary action and to assist in presenting theemployees response. Since this is not a full or formalhearing, the representatives role does not include

questioning witnesses. If the employee rejects theopportunity for a meeting, note this in the record at theend of your investigation.

The Investigatory Meeting . Whether it involves ageneral job performance problem or a specific policyviolation, the structure of the investigatory meeting isthe same. Inform the employee of the problem and theevidence that currently exists and ask the employee foran explanation or response. At the conclusion of themeeting, inform the employee of the range ofdisciplinary actions you may take if your complete

investigation shows discipline is warranted.

It is recommended that a final decision not beannounced in the meeting. At this point, you are readyto continue your investigation. As you gather facts,question witnesses, and review the evidence, documentthe investigation, inc luding dates, times, and personsquestioned. Take time to reflect on all availableinformation and to discuss the matter withdepartmental management and Human Resources

Administration. You are now ready to make a sounddisciplinary decision.

Documenting the Discipline

Once beyond the oral warning step, confirm alldisciplinary actions in writing. This writtendocumentation officially recognizes that a problemexists and is written afterdiscussion. If the disciplinaryletter is written prior to meeting with the employee, thediscussion may be slanted to fit the letter. In addition, adisciplinary letter prepared in advance does not allowfor unknown circumstances or explanations presented

by the employee.

What should a disciplinary letter include? The letterhas three parts: the past, the present, and the future.Depending on the flow of the letter, the order of thefirst two parts may be reversed, but it is important allthree parts be present.

The Past. This section reviews the employee's workrecord, gives the history of related offenses (if any),and reminds the employee of previous disciplinaryactions taken. This summary of past eventsdemonstrates the progressiveness of the discipline

applied.

The Present. This section states the purpose of thedisciplinary letter and cites the specific incident ornature of the problem. In recounting the incident or

problem, include what occurred and when, how itaffected the work activity, the results of yourinvestigation, and the employee's explanation. Stateonly the facts that can be proven. This section alsocites the specific rule, policy, or standard violated, andthe disciplinary action being taken as a result of theemployees actions. Stress the significance of the

offense and the reason for the discipline.

The Future . Finally, the employee must have a clearunderstanding of the expected standard of behavior or

performance, how this standard can be achieved, andthe consequences of continued failure to meet theseexpected standards.


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Write in easily understood language, emphasize thedo rather than the don't, and focus on the futurerather than the past. In other words, use a tone ofcorrection not punishment. You may also advise theemployee of the right to appeal the disciplinary actionthrough the universitys Problem-Grievance Procedure.

Sample letters are provided in the back of this guide.

Informing the Employee

Inform the employee of the discipline, both orally andin writing, as soon as possible after the disciplinarydecision has been reached. The purpose of thisdiscussion is to outline what is wrong, what is expectedin the future, and what disciplinary action is beingtaken.

This may be the most crucial element of the entire

disciplinary process. As a supervisor, you need to keepclose control of your emotions, avoid sarcasm, threats,nagging, getting into an argument with the employee,or losing your temper. With the obvious exception of atermination, the purpose of the discipline is to correct a

problem. The employee needs to leave this meetingknowing that better conduct is expected.

Ask the employee to sign the disciplinary letter toacknowledge receipt and understandingnotnecessarily agreement. If the employee chooses not tosign the letter, note this on the letter. Give a copy to

the employee, and inform the employee that a copywill also be sent to Human Resources Administrationfor inclusion in the official personnel file.


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THE EMPLOYEES RIGHT TO APPEAL DISCIPLINARY ACTIONS

The Problem-Grievance Procedure

The university has established a Problem-GrievanceProcedure through which the employee may appeal

disciplinary actions. Do not be deterred from taking adisciplinary action because of a threat or fear of agrievance. The filing of a grievance over a disciplinaryaction you have taken does not mean that your decisionwas wrongit simply means the employee disagrees.The grievance procedure allows for the employeesviews to be considered in an orderly way withoutinterrupting work operations.

There are three principles basic to any effectivegrievance procedure.

Settlement on a Merit Basis . The employee must feelthe grievance procedure will permit a fair hearing.

Settlement at the Point of Origin. The procedureseffectiveness depends largely upon the success ofresolving complaints at the lowest level possible.Grievances become more difficult to settle as they

progress through the appeal steps because attitudestend to become fixed, and fear of loss of prestige

prevents settlement. However, to assure fairconsideration, there is a definite route of appeal,without fear of prejudice, to higher levels of authority.

Promptness of Action at Each Step. Handlingcomplaints promptly increases the employeesconfidence that you are dealing in good faith. Staywithin the time frame provided in the grievance

procedure for input, gathering the facts, and reflection.

In recognition of these principles, the universitysgrievance procedure has four steps, with time limitsstated for each step. The complaint is first presented,either orally or in writing, to the immediate supervisor.It may be appealed in writing to Stage II to the dean ordirector of the department. If not resolved, thegrievance may then be appealed in writing to HumanResources Administration at Stage III. If HumanResources Administration is unable to mediate aresolution to the grievance, the employee may appealto Stage IV. Stage IV is limited to cases ofterminations and policy violations.

The universitys problem-grievance procedure issummarized in the following chart. The full procedureis contained in each of the university personnel policymanuals.

IUPUI Problem-Grievance Procedure

Stage

Time Limitsto File or

Appeal

Person WhoHears the

Appeal

Time Limitsto Respond

to Employee

I

14 Calendar

Days (from

knowledge of the

incident causinggrievance)

Immediate

Supervisor2 Working Days

II 2 Working DaysDean orDirector of

Department

5 Working Days

III 2 Working DaysHumanResources

10 WorkingDays

IV

3 Working Days

(10 working

days for SM

employees)

Faculty

Member,

Hearing Panel,

or Arbitrator

15 Working

Days (if

possible)

*This is a general outline of the time limits in the university

procedure. See Human Resources Policies on the Problem-

Grievance Procedure for complete information.

Managements Burden of Proof

Management has the primary responsibility to provethe discipline was warranted andthe level of disciplinewas appropriate. Obviously, the employee does notremain passive in this process but will be trying to

persuade whoever is hearing the appeal that thediscipline was not warranted or was too severe.

The formal rules of evidence of the legal system arenot strictly applied in the grievance process. Forexample, while testimony of a witness to an incidentcarries more weight than a written statement andoriginal documents better than copies, hearsayevidence (information provided by someone other thanthe primary source) and circumstantial evidence


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(information which causes one to deduce a certain fact)are both permitted in reviewing grievances. Neithermay receive much weight unless they are corroborated

by direct evidence. In summary, the quality ofevidence is judged by four criteria:Relevance . Is the information related to the issue?

Materiality. If relevant, how relevant is it? Does italone constitute proof?

Competence. Is the information believable and is theperson testifying in a position to know?

Best Evidence. Is the best available evidence used andif not, why?

Handling a Grievance

The following are some of the dos and donts for youto observe in handling grievances.

DO

1. Do investigate and handle each case as though itmay eventually result in a Stage IV hearing.

2. Do talk to the employee about the grievance,permitting a good, full discussion.

3. Do enforce the grievance procedures time limitsand comply with them yourself.

4. Do visit the work area of the grievant.5. Do determine if there were any witnesses.6. Do examine relevant university policies and

departmental procedures.7. Do determine if there has been equitable treatment

of employees.8. Do determine how similar cases have been handled

in the past.9. Do examine the employee's personnel record.10.Do fully examine similar grievances.11.Do produce all available evidence.12.Do identify the resolution the employee is seeking.13.Do permit the employee to have representation, if

requested.14.Do hold your grievance discussions privately.15.Do recognize your burden of proof in disciplinary

cases.16.Do use the grievance meeting as another avenue of

communication.17.Do control your emotions, your remarks, and your

behavior.

18.Do maintain records relevant to disciplinary actions.19.Do admit your errors and take corrective actions.20.Do fully inform and discuss grievance matters with

your superior.21.Do discuss discharge cases with Human Resources

Administration.22.Do advise the grievant of your decision in writing.23.Do advise the grievant of the next appeal step.

DONT

1. Dontsettle a grievance while in doubt; get a timeextension.

2. Dontgive long written grievance responses; get tothe point.

Above all else, dontbe afraid of the grievanceprocedure.Do use it as another management tool towork for you.


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APPENDIX A

SUPERVISORS CHECKLIST

This checklist should be helpful in analyzing anemployee problem and determining what disciplinaryaction might be appropriate. It is intended to help youremain objective in analyzing and administering

progressive disciplinary action. No answers mayindicate that more information, further analysis, ornon-disciplinary action may be required before youmove to the next progressive step. You should answerall of the questions before you decide on a plan ofaction. Then consult your supervisor and/or HumanResources Administration.

I. Work Performance Problem

Yes No___ ___ 1. Is the employee adequately performing

the work assigned?___ ___ 2. Does the employee understand your

expectations:

A. What to do?B. How to do it?C. Why to do it?D. When to do it?

___ ___ 3. Does the employee have access to andknow where to find written instructions/

procedures?___ ___ 4. Has the employee ever demonstrated the

skill?___ ___ 5. Is it a skill the employee can be taught?___ ___ 6. Based on experience/education, is it a

skill the employee should possess?___ ___ 7. Could the employee perform the skill if

he or she wanted to?___ ___ 8. Is the work expected reasonable?___ ___ 9. Has the job changed?

II. Behavior Problem

Yes No___ ___ 1. Is the employees behavior appropriate/

acceptable?___ ___ 2. Does the employee understand

acceptable behavior?___ ___ 3. Has the behavior been acceptable in the

past?

III. The Investigation

Yes No___ ___ 1. Have you discussed this problem with

the employee to get an explanation?

___ ___ 2. Do you understand the employeesexplanation?___ ___ 3. Have you conducted an objective

investigation by approaching theproblem from all angles?

___ ___ 4. Have you questioned the peopleinvolved including those mentioned bythe employee?

___ ___ 5. Have you examined the physicalevidence (e.g. time cards, vouchers,daily logs, equipment location)?

___ ___ 6. Do you know the basic facts (e.g. dates,

times, places, people involved)?___ ___ 7. Have you separated the disputed factsfrom the undisputed facts?

___ ___ 8. Have you checked university anddepartmental policy?

___ ___ 9. Have you consulted HRA?___ ___ 10. Is there a past history of enforcing

discipline for the same/similar offense?___ ___ 11. Is the rule that has been violated a

reasonable one?___ ___ 12. Did the inappropriate performance/

behavior result in cost to others?___ ___ 13. Did the inappropriate performance/

behavior result in danger to others?___ ___ 14. Above all, have you documented your

investigation in writing?


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IV. Supervisors Responsibility

The university depends on supervisors to communicateuniversity policies and practices. Since you determine

job tasks/duties, you must communicate jobperformance expectations and departmental work rules.

Yes No___ ___ 1. Have you provided adequate training?___ ___ 2. Can the employee function within the

work group without using the deficientskill?

___ ___ 3. Do you reinforce acceptable behavior?___ ___ 4. Has acceptable behavior been

communicated with understanding to theemployee?

___ ___ 5. Have you conducted a full and fairinvestigation as outlined in Section III?

V. The Employee

Before administering disciplinary steps, be familiarwith the answers to the following questions.

Yes No___ ___ 1. Has the employee been employed a long

time?___ ___ 2. Is the employees work record below the

rest of the work group?___ ___ 3. Did the employee know or should have

known the rule or policy?___ ___ 4. Should the employee have known your

work expectations?___ ___ 5. Is the employee personally guilty?___ ___ 6. Has the employee been warned

previously for violation of this rule?___ ___ 7. If previously warned, did you

communicate the consequences if theemployee did not correct the problem?

___ ___ 8. Has it been less than a year since themost recent disciplinary action?

VI. Appropriate Disciplinary Action

Yes No

___ ___ 1. Have you defined the objective of thedisciplinary action?

___ ___ 2. Have you checked university anddepartmental policy?

___ ___ 3. Have you imposed discipline to fit theemployees past record?

___ ___ 4. Have you imposed discipline that isprogressive in nature and that fits theincident?

___ ___ 5. Have you considered any mitigating oraggravating circumstances which mayaffect the level of discipline?

___ ___ 6. Have you set a date to follow up with theemployee?


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APPENDIX B

Oral Warning

MEMORANDUM

TO: Mary Jones

FROM: Tom Doe

Supervisor

DATE: January 9, 20__

SUBJECT: Oral Warning for Poor Work Performance

On Wednesday, January 8, at 2:30 pm., we met to discuss your failure to follow theinstructions and departmental procedures described below.

1. You did not process a travel request on a timely basis and scheduled animportant meeting on this travel day which had to be rescheduled. Also,another travel request was prepared that was incomplete in numerousaspects, including the registration form.

2. Filing in all areas is to be done on a daily basis. Filing in some areasaccumulates for more than a week before receiving your attention. Youwere given oral instructions that nothing was to be stacked on top of thefile cabinets. A second reminder was issued two weeks later to clean off

the top of the file cabinets, and it included specific instructions as towhere the materials should be placed. Both of these directives have been

ignored.

Mary, I urge you to direct your attention to these areas of your performance before

further disciplinary action becomes necessary.

cc: departmental file


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APPENDIX B-1

Oral Warning

From the Desk of Marian Blake

TO: The File

FROM THE DESK OF MARIAN BLAKE

2/12 - Spokew/Ed Smith today about attendance.

4th

Tuesday in a rowabsent. Informed him

next step written warning.MB


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APPENDIX CWritten Warning

MEMORANDUM

TO: Mary Jones

FROM: Tom Doe

DATE: February 1, 20__

SUBJECT: Written Warning for Poor Work Performance

Since the time of your oral warning last month, I have not seen sufficient

improvement in any of the areas that were cited as needing improvement. Your

work performance continues at an unsatisfactory level. The following problemshave been noted within the past two weeks:

1. A memorandum given to you as a high priority item was not transcribed forover one week. When it was transcribed, the first and second drafts containednumerous errors, many of which were of a totally unacceptable nature given

your experience and job level.

2. In looking through your to do file, there were numerous items which I hadgiven to you to send to other people that were more than one week old andnot yet processed.

3. You either double scheduled or failed to indicate that you had scheduledmeetings for me upon three occasions causing me to miss meetings.

4. You have been noted to have spent an excessive amount of time on personalphone calls.

This letter is to notify you that, unless your work performance improves to an

acceptable level immediately, further disciplinary action will follow. If you achievean acceptable level of work performance, you are expected to maintain that level of

performance on a continuous basis. Your performance will be reviewed on a weekly

basis, and problems will be brought to your attention immediately. Any questionsregarding this memorandum should be addressed to me.

cc: Human Resources Administration

_______________________________________

Employees SignatureAcknowledges Receipt Only


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APPENDIX C-1

Written Warning

MEMORANDUM

TO: Ed Smith

FROM: Marian Blake

DATE: March 21, 20__

SUBJECT: Written Warning for Poor Attendance

On February 12, we discussed your poor attendance, and you were informed that ifthis problem persisted, you could be subject to further disciplinary action.

Since our discussion, you were late to work on February 20 and absent on February28 and March 18. I must emphasize the seriousness of this situation. This

attendance record is unacceptable and continued difficulties in this area could lead tomore severe disciplinary action, including suspension without pay and ultimatelytermination.

If you have any questions regarding this matter, I urge you to discuss these concerns

with me as soon as possible.


___________________________________

Employees Signature

This letter has been reviewed with me, and I have received a copy.


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APPENDIX DLetter of Suspension

MEMORANDUM

TO: Mary Jones

FROM: Tom DoeSupervisor

DATE: April 21, 20__

SUBJECT: Suspension for Poor Work Performance

On January 8 you received an oral warning and on February 1 you rece ived a written

warning which pointed out several serious deficiencies in your work performance. I

have been monitoring your work, and you have not made sufficient improvement inthe areas we discussed. Immediate and sustained improvement is necessary in thefollowing areas:

1. You have been making frequent typing errors involving the spelling ofcommon, nonmedical terms. Revisions have often been returned with

additional typing errors which were not present on the original letters.

2. In typing dictations, you are not using the dictionary and other sources ofreference to check the spelling of words. As a result, your error rate on somedictations has been as high as 30 words per page. Again, corrected versions

still come back with serious errors.

3. As I pointed out, you seem to have a problem in concentrating on your workwhich has been compounded by too many incoming and outgoing personalphone calls. Such calls should be limited to emergency situations in the

future.

You have been employed in our department for over a year, and during this time

your work performance has continued to decline. Because of this unacceptable levelof performance, you are being suspended for three days, April 22, 23, and 24. You

are expected to return to work at 8:00 a.m. on Friday, April 25. I wish to make clear

that unless your performance improves immediately and remains positive, I will haveno alternative but to terminate your employment.


_____________________________________

Employees SignatureAcknowledges Receipt


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APPENDIX D-1Letter of Suspension

MEMORANDUM

TO: Ed Smith

FROM: Marian Blake

DATE: May 15, 20__

SUBJECT: Suspension for Poor Attendance

This letter is intended to serve as a notice of suspension in the matter of your

attendance and to outline, once again, the guidelines for your continued employmentwith Indiana University.

In early February of this year you were given an oral warning that your attendance

was unacceptable; one month later, when your attendance had not improved, youwere given a written warning.

Since that time, there have been three instances in which you were absent for all orpart of a day. This is an unacceptable situation, and you are now placed on a three-

day suspension effective tomorrow through Thursday.

Further absences can lead to termination. I hope that you understand the gravity ofthis situation. While I have no wish to see you terminated, it is important that youare present and willing to work. Your signature below is evidence that you have

read this document and understand its content s.


_________________________________________

Employees Signature


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APPENDIX ELetter of Termination

MEMORANDUM

TO: Mary Jones

FROM: Tom Doe

DATE: June 4, 20__

SUBJECT: Notice of Termination - Poor Work Performance

At the time of your suspension for poor work performance, I expected an immediate

and sustained improvement of your performance or you would be subject totermination.

I did note some initial improvement; however, it did not last. Within the past three

weeks, most of the problems cited in the written warning and suspension letters haverecurred. Since you offered no acceptable explanation when I presented these latest

deficiencies to you, I am notifying you of your termination of employment fromIndiana University effective two weeks from today on June 18.

You are entitled to follow the IUPUI grievance procedure if you wish to do so. Toindicate your understanding and receipt of this letternot agreementplease sign

below.


____________________________________

Employees Signature


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APPENDIX E-1Letter of Termination

MEMORANDUM

TO: Ed Smith

FROM: Marian Blake

DATE: June 30, 20__

SUBJECT: Notice of Termination for Poor Attendance

During the past year you have been counseled numerous times regarding your

attendance record. It was stressed that you could not effectively perform yourresponsibilities with such a poor record.

You were given an oral warning on February 12 explaining the necessity of

improving your attendance record, and on March 21 you received a written warningfor failure to improve your attendance. On May 15 you received a three-day

suspension, and you were advised that further attendance problems could result intermination.

Since that time, your attendance has remained unacceptable with several occasionsof tardiness and absences.

As we discussed in our meeting this morning, this adversely affects the department.I have no alternative but to terminate your employment effective two weeks from

today. Your last day will be July 14.


____________________________________

Employees SignatureAcknowledges receipt and understandingnot agreement


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APPENDIX FLetter of Suspension Subject to Termination

MEMORANDUM

TO: Ed Smith

FROM: Marian Blake

DATE: June 1, 20__

SUBJECT: Suspension Pending Termination

This is to notify you that effective immediately you are being placed on a five-day

suspension pending an investigation and subject to discharge.

This action is being taken due to your participation in a fight at work with anotheremployee. When questioned earlier today, you denied starting the fight, but you did

admit to striking the other employee. Instigating a fight and/or retaliating withphysical violence are totally unacceptable actions in the work place, and they result

in severe disciplinary action.

An investigation of your involvement in this incident will be conducted during the

ensuing five days at which point you will have the opportunity to again explain whathappened. You will be notified of your employment status at the end of this five-day

suspension period.


____________________________________

Employees SignatureAcknowledges Receipt Only

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