Progressive Disciplinary Procedures

Information is from Section 8 of the Human Resources Policies and Procedures manual 

Auburn University encourages open and informal discussion of complaints and problems between supervisors and employees. Supervisors should encourage employees to discuss their complaints and problems with them. When a conflict between supervisors and employees cannot be resolved through normal channels, one or both parties may seek resolution and advice from the Department of Human Resources. Employees also have access to the employee grievance process.

The supervisor is responsible for establishing and maintaining a work environment where employees can improve their job performance. The supervisor's continuing emphasis on developing correct work habits through effective orientation, training, and performance review and on regular and meaningful communication is essential in contributing to the productivity and well-being of employees and developing good employee/management relations.

Disciplinary action should be corrective rather than punitive. A series of disciplinary actions may result in dismissal, unless dismissal is the result of a major act of misconduct. The kind of corrective action initiated by the supervisor depends upon the severity of the situation. Wherever possible, counseling should be used before formal corrective action is taken.

The supervisor needs to ensure that employees under his or her supervision have been informed in advance of poor performance or bad job conduct, so that if an occasion occurs that requires corrective action, there should be less of a chance for any misunderstanding on the employee's part concerning the action taken.

Before determining what form of corrective action to take, a supervisor should follow these procedures for progressive discipline:

• Identify the job performance problem and discuss it with the employee as soon as possible; and use discretion: One single incident may not necessitate action, but deviation from acceptable job performance patterns should be identified early.

• Be specific in describing the performance problem; make sure the employee understands exactly where he or she needs to improve and to what extent; and explain the consequences of continued job performance deterioration.

• Keep discussions focused on job performance problems and keep emotions in check.

• When reprimands are given, ask the employee what action he or she will take to solve the problem: Follow-up discussions should determine whether the employee is actually taking action, particularly in cases where the performance continues to deteriorate. The supervisor may use his or her discretion in deciding how direct to be in these matters.

• Avoid diagnosing personal problems as causes of unsatisfactory job performance; and leave diagnosis to the professionals who are qualified to conduct assessments and provide referrals.

• If a relapse occurs, treat it on an individual basis, depending upon the employee's progress and attitude.

• In cases of dismissal, make sure the employee has a pre-termination hearing in order that they may give their side of the situation.

Informal Private Discussion of the Problem with the Employee

• Review the problem (attendance, job performance, general behavior, etc.) with the employee; listen to the employee since there may be mitigating circumstances of which the supervisor is unaware, and be sure that the employee understands what is expected of him or her and point out your expectations in order to gain understanding.

• Inform the employee of the Employee Assistance Program for self-referral if a need for assistance is indicated. 

• Document the discussion for future reference, to include Employee Assistance Program advisement and availability; emphasize to the employee that confidentiality will be maintained and that the Employee Assistance Program is strictly voluntary; and keep the documentation in your personal file if needed for future reference.

• If improvement occurs, advise the employee accordingly.

Written Reprimand

• Review the problem with the employee and make sure that he or she understands that the action is taken because of unsatisfactory job performance or workplace behavior.

• Inform the employee of the Employee Assistance Program for referral if needed.

• Review what is expected of the employee and why; explain to the employee why his or her performance is unsatisfactory or below required standards; and offer suggestions and set goals for improvement.

• Document the discussion to include Employee Assistance Program advisement and availability; furnish a written copy of the reprimand to the employee within one week covering the points discussed during the meeting; ensure that the statement includes the fact that the employee was advised that an Employment Assistance Program is available, if the employee desires assistance; ask the employee to sign the reprimand: The employee's signature does not necessarily mean agreement with the reprimand, but that the employee is aware of it; and send a signed copy of the reprimand to the Department of Human Resources to be placed in the employee's file.

• Establish a follow-up date to review progress with the employee and document whether steps have or have not been taken toward correction. The appropriate time frame will vary with each employee, depending on his or her abilities and the severity of the problem.

Note: It is important in these first two steps to encourage the employee to give his or her views on the performance problem in order to avoid any misunderstandings. The supervisor should encourage the employee to acknowledge that there is a current job performance problem on his or her own or with normal supervisory guidance. The supervisor should not assume that personal problems are the cause of low performance, nor should the supervisor attempt to diagnose such problems. If the employee admits to a personal problem, the supervisor should ask whether the employee would like to discuss the problem with a counselor, either by self-referral or an EAP arranged appointment.

Form

The corrective action form can be found on the Human Resources website.

Written Final Reprimand

• If the problem is not corrected, issue a written final reprimand to the employee; make sure the employee understands the significance of the written reprimand and why he or she is receiving one; ask the employee to sign the reprimand and send a signed copy of the reprimand to the Department of Human Resources to be placed in the employee's file.

• If there is a need, offer the assistance of the Employee Assistance Program.

• The written final reprimand must outline steps for improvement of the employee's work performance and state that without significant improvement, action for dismissal, demotion, or suspension will be taken.

• Establish a follow-up date; and review progress with the employee on the established date and document that progress or the lack thereof.

Job Action

If previous steps have not resulted in improved job performance, specific action should be taken. It may take one of the these forms:

• Suspension - Occurs when an employee is not allowed to work for a specific period of time. This is usually without pay. However, there are times when an investigation of an employee is alleged wrong doing is needed, and in these cases the employee may be suspended with pay until the investigation is completed and a decision is made.

• Demotion - May be appropriate when an employee is otherwise in good standing but is in a job for which he or she is not qualified to perform. It may also occur as part of the result of corrective action that is taken against an employee. A demotion results in a downgrade in classification and/or pay.

• Dismissal - Occurs when an employee is relieved of his or her duties as an employee of the University. Dismissals should be closely coordinated with the Department of Human Resources and the appropriate Dean, Director, Department Head or Vice President before termination of an employee is completed

An employee who receives formal written reprimand, or is suspended or discharged, has full recourse through the appropriate University Administrative/Professional or University Staff grievance procedures.

Individual counseling and corrective actions are necessary motivating steps for employees to improve their conduct or job performance. It is equally important that full recognition be given to employees who do make real and successful efforts to correct their deficiencies.