Progressive Discipline

VANDERBILT UNIVERSITY HUMAN RESOURCES POLICIES AND PROCEDURES
SUBJECT: ANTI-HARASSMENT
EFFECTIVE DATE: January 1, 2023

Approval Authority: Vice Chancellor for Administration

Responsible Administrator: Associate Vice Chancellor, HR

Responsible Office: Human Resources, HR Consulting

Policy Contact: Senior Director, HR Consulting

POLICY STATEMENT/REASON FOR POLICY

This policy defines the process for correcting single and repeat episodes of employee failure to comply with rules and/or to meet specific workplace expectations for conduct. Corrections to unacceptable behavior may be addressed under this policy or the Performance Accountability & Commitment Policy, depending on the individual circumstances and the nature and extent of correction that is needed. Workplace expectations may be addressed under either policy, depending on the circumstances of the situation.

THIS POLICY APPLIES TO

This policy applies to all employees.

*For more information on the categories, please see the following link

POLICY

Progressive Discipline is a Step-by-Step Process

Progressive Discipline is a step-by-step process designed to modify unacceptable employee behaviors, which also allows for discipline to start at a higher step based on the severity and circumstances of the situation. For example, one incident of profanity overheard by others is different from profanity in anger directed at others; poor judgment in wearing inappropriate clothing in the workplace is different from overlooking a key safety protocol on handling toxic materials. The supervisor should assess the employee's understanding of the rules and expectations, their willingness to follow them, any systems failures and workplace obstacles interfering with compliance, such as equipment malfunctions, and whether the action was the result of an excusable mistake, an inexcusable error or deliberate action.

Examples of performance and conduct covered by this policy

Violations of protocols, regulations and procedures governing safety or compliance for students, patients or employees
Misuse of fiscal or electronic resources or Vanderbilt facilities
Inappropriate and unprofessional behavior, such as profanity, insults or solicitation
Attendance and absenteeism

If an employee is applying for another position within Vanderbilt and has received a disciplinary action within the preceding 12 months, the employee is required to share with the hiring manager, prior to the job offer, the circumstances and severity of the disciplinary action. This information may be a deciding factor in the hiring decision. In addition, failure to make this required disclosure may lead to progressive discipline up to and including termination of employment.

An employee is expected to have sustained improvement while on progressive discipline. Should an employee be away from work for an extended and continuous period of time under any Vanderbilt University leave policy, the disciplinary action step may be extended by the time the employee was away from work and the employee would be given the opportunity to demonstrate improved behavior once the employee returns to work. Extending progressive discipline should be done in consultation with Human Resources.

Progressive Discipline Steps

The purpose of progressive discipline is to assist employees by being clear and precise about problems and the consequences if the same or other mistakes or misconduct reoccur. It is important that discipline is applied in a fair and consistent manner. The supervisor has a critical role in conducting a fair and objective investigation of a situation. An investigation may be as simple as confirming a late arrival through a time clock or more complex with interviewing many employees and reviewing documents. More complex investigations should be conducted in coordination with the Human Resources Consultant (and other institutional offices, as needed). The supervisor should review all relevant documents, review how the employee was notified of the expectation that has been violated, speak with any witnesses (and obtain written statements, if appropriate) and ask the employee about the situation. The conversation with the employee should include asking if any extenuating or mitigating circumstances exist.

An employee may be placed on a paid administrative leave during an internal investigation. During the administrative leave, the supervisor should remind the employee that s/he is expected to be available during their regularly scheduled hours of work, should not be in the workplace, and should not conduct any business on behalf of Vanderbilt.

The supervisor must have an understanding of the facts and circumstances before assessing appropriate discipline. The supervisor should discuss the situation with a Human Resources Consultant to determine the appropriate level of disciplinary action. Many situations should be able to be resolved through verbal counseling or discussion with the employee; however, some one-time incidents may be severe enough to merit a formal written warning, suspension (without pay), final warning or termination. The seriousness of the offense and the employee's disciplinary and performance history will be considered when determining the level of discipline to be applied. All decisions to escalate disciplinary action to a higher level of discipline should be made in consultation with Human Resources.

Situations may arise where an employee’s conduct and performance falls under both the Progressive Discipline Policy and the Performance Accountability & Commitment Policy. In these situations, the totality of the circumstances will be assessed when determining appropriate action.

Step 1- Verbal Warning:

In many situations a verbal warning/counseling is sufficient. The purpose of a verbal warning is to clarify policies and expectations. The impact of the incident or violation should also be taken into consideration. The supervisor should document for his or her records that the conversation occurred, keeping in mind the significance of the impact of the act or omission.

Step 2 - Written Warning:

If the conduct addressed by a verbal warning is repeated or additional problems occur within 12 months of a verbal warning, the supervisor should follow up with a written warning in the form of a letter. On the other hand, if a single incident is more serious than is appropriate for a verbal warning, the supervisor should issue a written warning in the form of a letter. The letter should describe the unacceptable conduct, outline expectations, and state that further disciplinary action will occur if the behavior is repeated within 12 months.

Step 3 - Final Written Warning (which may include a suspension without pay):

If the conduct addressed by the written warning is repeated or additional problems occur within a 12-month period, discipline may progress to a final written warning, which may include an unpaid suspension. However, a single incident may be so severe as to merit an immediate final warning and suspension without pay. As noted above, the supervisor should work in consultation with Human Resources prior to taking disciplinary actions at higher levels, such as written warnings, final written warnings (with or without unpaid suspension) and termination.

Step 4 - Termination of Employment:

Employment may be terminated based on progressive discipline within a 12-month period or based on the severity of a single incident.

Misconduct that involves dishonesty, violation of the law, or significant risks to Vanderbilt operations or to the safety or well-being of oneself or others is grounds for immediate termination of employment. However, the facts and circumstances of each case will determine what action, up to and including discharge from employment, is appropriate. Decisions to terminate employment should be made in consultation with Human Resources. Examples of misconduct include, but are not limited to:

Violations of policy or procedure

Anti-Harassment and Equal Opportunity and Affirmative Action
Hours of Work (i.e., unauthorized sleeping while on scheduled work time)
Drugs & Alcohol
Electronic Communication Policy
VUMC Compliance & Integrity Standards of Conduct

Violence in the workplace

Possessing an unauthorized weapon on Vanderbilt time or premises
Threatening or assaulting another person on Vanderbilt time or premises

Serious neglect of duty, insubordination (including refusal to comply with University policy on background checks for current employees), violation of safety rules, dishonesty, falsification of Vanderbilt records, breach of confidentiality, unauthorized use of Vanderbilt resources for personal gain, unauthorized removal or destruction of property belonging to others
Criminal Activity and Disclosures

Failure to report a criminal arrest or conviction through a Conflict of Interest disclosure within 3 business days of the arrest or conviction
Failure to disclose criminal convictions as requested during a criminal background check performed pursuant to University policy
Conviction of a crime involving dishonesty, violence or other behavior that impacts suitability for employment
Activity that involves dishonesty, violence or other behavior that impacts suitability for employment, whether or not it results in criminal prosecution or conviction

A review of any criminal activity and disclosure will be conducted prior to any action being taken. The review will include, but not be limited to, an assessment of the underlying conduct, the nature and gravity of the offense or conduct, when the incident occurred (whether it occurred many years ago or within the last few years), and the nature of the position.

Note: University Central employees' PTO may not be paid out for terminations deemed as gross misconduct.

Impact of Written or Final Progressive Discipline Warning

Internal Transfers (applying for another position within Vanderbilt) – the employee is required to share with the hiring manager, prior to the job offer, the circumstances and severity of the disciplinary action. This information may be a deciding factor in the hiring decision. Failure to disclose a disciplinary action prior to accepting an offer of transfer may also result in additional discipline, up to and including the termination of employment.
Annual Increase – Employees on a final Progressive Discipline Warning are not eligible for an annual increase. Employees on a written Progressive Discipline Warning are not automatically eligible for an annual increase. At the manager’s discretion and in consultation with HR, an increase for an employee who has been on a Disciplinary Warning may be considered provided they have significantly met and sustained performance expectations.
Professional Practice Ladders – discipline issues related to a current or past Progressive Discipline warning may be considered when assessing advancement.

Note: PTO will not be paid when an employee is placed on suspension as the result of progressive discipline actions.

Resources Available to Employees

The Employee Assistance Program is available to provide resources and suggestions as an employee is taking steps to ensure that the inappropriate conduct or policy violation does not recur.

The Dispute Resolution Process is available to employees, who are outside their orientation period, if they wish to dispute a written warning or higher-level action that was taken under the Progressive Discipline Policy.

An employee who believes that s/he has been subjected to discipline because of race, sex, religion, color, national or ethnic origin, age, disability, military service, genetic information, sexual orientation, gender expression, gender identity, or in retaliation for 1) filing or encouraging one to file a complaint of unlawful discrimination, 2) participating in an investigation of unlawful discrimination, 3) opposing unlawful discrimination, 4) or some other protected activity, should contact the Equal Opportunity and Access Office (EOA).

This policy in not intended to apply to statements or actions protected under Section 7 of the National Labor Relations Act. (NLRA)

CONSEQUENCES OF NON-COMPLIANCE

Violation of this policy may result in disciplinary action, up to and including termination of employment.

ADDITIONAL CONTACTS

Subject	Contact/Position	Office	Phone
Questions	HR Consultants	Human Resources	(615) 343-4788 / hr.vanderbilt.edu/hrconsulting/index.php
Resource	Employee Assistance Program	EAP	(615) 936-1327
Resource	Equal Opportunity and Access	EOA	(615) 343-9336 / vanderbilt.edu/eoa/

HISTORY

Issued: 2015 version

Reviewed:

Comment

Amended:
Comment

Disclaimer: The policies and procedures that guide employment practices are intended to assist in consistent administration and compliance. Vanderbilt reserves the right to modify its policies and practices, in whole or in part, at any time. Revisions to existing policies and procedures, and the development of new policies and procedures, will be made from time to time at the discretion of the University. When new policies are implemented or existing policies are revised, the University will notify members of the University community as soon as practicable. However, where differences occur, the most recent policy as reviewed and approved by the University will take precedence. Policies are not intended to apply to statements or actions protected under Section 7 of the National Labor Relations Act. (NLRA) The policies and procedures do not create a contract, implied or expressed, with at-will employees at Vanderbilt.