Disciplinary Action for Unsatisfactory Job Performance

Any work-related performance deficiency may be the basis for discipline. The need for discipline occurs when an employee fails to meet performance standards at the "Good" level or above on one or more principal functions as determined by the supervisor. The use of the Performance Management process is the proper tool for working with performance deficiencies. In most cases, timely intervention by the supervisor corrects the deficiency and eliminates the need for disciplinary action. However, if satisfactory improvement is not made, discipline should be administered using the successive procedure described below. Employees may appeal any disciplinary action by using the University's SPA Dispute Resolution and Staff Grievance Policy.

In making a decision as to whether or not a deficiency involves unsatisfactory job performance, a supervisor should consider the following factors:

• quality of work
• quantity of work
• work habits
• timely performance of work
• accuracy of work
• regularity of attendance
• adherence to the unit's work rules
• ability to follow instructions, directions or procedures

Successive disciplinary actions are required for corrective discipline based on unsatisfactory job performance, or for performance at the "Below Good" level.

Throughout the Performance Management and disciplinary processes, it is recommended that the supervisor allow the employee to discuss the specific reasons for the performance deficiency. In some cases, the employee may not have the resources (required equipment, sufficient time, adequate supplies, or co-worker cooperation) to perform satisfactorily. The supervisor may be able to use this information to correct the deficiency without disciplinary action. If the employee indicates that he/she is experiencing personal difficulties that are affecting performance, the supervisor is encouraged to inform the employee of resources such as Employee & Management Relations Specialists in the Office of Human Resources and the Employee Assistance Program Consultant for confidential assistance and referral services.

If non-disciplinary efforts to improve performance (counseling, retraining) have not succeeded, the first step in the successive disciplinary process is a written warning.

In a private discussion, the supervisor must inform the employee that he/she is being disciplined for unsatisfactory job performance. In this discussion, the supervisor must:

• specify the performance deficiencies;
• review any previous discussions concerning the performance deficiency;
• ask for reasons for lack of improvement;
• indicate the corrective measures to be taken;
• set a reasonable time frame for improvement; and
• describe the consequences if satisfactory improvement is not made in a reasonable period of time.

Under very limited circumstances, at management's discretion, another management representative or a representative from the Office of Human Resources may be present to facilitate communication.

If, following this discussion, management decides to issue a written warning, the written warning must contain the following:

• a statement that this is a written warning, and not some other non-disciplinary process such as counseling;
• a statement of the specific performance deficiency;
• what specific corrections must be made to address the specific issues;
• the time frame for making the required corrections;
• the consequences of failing to make the required corrections (further disciplinary action, up to and including dismissal); and
• the employee's appeal rights.

In preparing a written warning for unsatisfactory performance, it is important to remember that unless the employee knows specifically what is inadequate about his/her performance, there is little chance to improve the performance. Using precise language rather than general statements to describe the unsatisfactory performance will help both the employee and the supervisor identify and correct the problem. (See sample letters under "Related Subjects" below.)

If, after a written warning, the employee continues to have unsatisfactory job performance, management may issue another written warning. A second written warning is administered in the same manner as the first written warning.

Because only two disciplinary actions are required before dismissal for unsatisfactory job performance, it is required that the supervisor inform the employee in the second written warning that any further unsatisfactory job performance may result in dismissal.

Under some circumstances, management may desire an alternative to proceeding to dismissal for unsatisfactory job performance. Two such options are Disciplinary Suspension Without Pay or Demotion. The Employee & Management Relations Specialist assigned to the department is available to discuss these options on a case-by-case basis.

An employee may be suspended without pay for disciplinary purposes for causes relating to unsatisfactory job performance after the receipt of at least one active written warning or other disciplinary action. Before a disciplinary suspension without pay can be implemented:

• the supervisor must receive higher level management approval for the action;
• management must consider any disciplinary actions taken (or not taken) in similar situations affecting other employees;
• the supervisor must consult with the Employee & Management Relations Specialist to review the procedural and substantive basis for a recommendation for disciplinary suspension without pay, and request approval to proceed to a pre-disciplinary conference; and
• management must conduct a pre-disciplinary conference (see "Pre-Disciplinary Conference") with the employee and a representative of the Office of Human Resources before implementing a disciplinary suspension without pay.

An employee who has been suspended without pay must be furnished a statement in writing setting forth the specific acts or omissions that are the reasons for the disciplinary suspension without pay as well as the employee's appeal rights. (For a sample letter, see "Related Subjects" below.)

To comply with provisions of the Fair Labor Standards Act, a disciplinary suspension without pay must be for one full work week. The work week begins on Monday and ends on Sunday, unless other schedules have been approved and communicated to all employees in the department. Earned leave may not be used to offset any disciplinary suspension without pay.

After the receipt of at least one active disciplinary action for job performance, an employee may be demoted. Disciplinary demotions may be to either:

• a lower classification with or without a loss of pay (the employee's pay must not exceed the maximum rate of the range and must not be reduced below the minimum rate of the range for the position to which s/he is assigned), or
• the same classification with a loss of pay (the employee's pay must not be reduced to less than the minimum rate of the range for the position).

Before a disciplinary demotion can be implemented:

• The supervisor must receive upper-level management approval for the demotion.
• The supervisor also must consult with the Employee & Management Relations Specialist to review the procedural and substantive basis for a recommendation for demotion and must request approval from the Employee & Management Relations Specialist to proceed to the pre-disciplinary conference.
• After receiving approval, management must conduct a pre-disciplinary conference (see "Pre-Disciplinary Conference") with the employee and a representative of the Office of Human Resources before implementing a demotion.

After the conference, management must furnish the employee a written statement setting forth the specific reason(s) for the demotion and the employee's appeal rights. (For a sample letter, see "Related Subjects" below.)

Before a permanent employee can be dismissed on the basis of unsatisfactory job performance, the employee must have received at least two disciplinary actions as follows:

• two or more active written warnings; or
• one active written warning and another active disciplinary action (i.e., demotion or disciplinary suspension without pay) that notified the employee that failure to make the required performance improvements may result in dismissal.

Before a dismissal can be implemented:

• The supervisor must receive upper-level management approval for the dismissal.
• The supervisor also must consult with the Employee & Management Relations Specialist to review the procedural and substantive basis for a recommendation for the dismissal and must request approval from the Employee & Management Relations Specialist to proceed to the pre-disciplinary conference.
• After receiving approval, management must conduct a pre-disciplinary conference (see "Pre-Disciplinary Conference") with the employee and a representative of the Office of Human Resources before implementing a dismissal.

If, following the pre-disciplinary conference, management determines that dismissal is appropriate, the employee must be given a letter of dismissal.  The earliest a decision may be communicated is the next work day. The latest a decision may be communicated is the end of the second work day following the date of the pre-disciplinary conference. The dismissal letter must specify the reason(s) for the dismissal, listed in numbered paragraphs, and the employee's right of appeal (For a sample letter, see "Related Subjects" below.)

Failure to give the required specific written notice will result in the employee receiving back pay until it has been deemed that proper notice has been received. Time limits for filing a grievance do not start until the employee receives written notice of any applicable appeal rights. When an employee cannot be given the letter of dismissal in person, it must be sent by certified mail, return receipt requested, to the employee's last known residence address.

Upon dismissal for unsatisfactory job performance, a permanent employee may be given up to two weeks' notice; or at the discretion of management, up to two weeks' salary in lieu of notice. Only permanent employees, including employees with time-limited appointments, dismissed on the basis of job performance may be allowed a working notice or pay in lieu of notice. (A probationary employee cannot be given pay in lieu of notice.)

If you have questions about this policy, contact the Employee & Management Relations Specialist in the Office of Human Resources assigned to work with your department.