Disciplinary Action Procedure

Version: 0001
Effective Date: 7/1/2024

Objective #

This procedure establishes steps for disciplinary action to correct unacceptable work performance or work-related behavior and to adhere to UTFI policies and procedures.

Scope #

This policy applies to all UTFI employees, including full-time staff, part-time staff, student workers, student interns and temporary staff for the organization. Employees are expected to familiarize themselves with all policies particular to the function they fulfill and to abide by them. Refer to TM0002 Disciplinary Action Policy.

Roles #

Supervisor Responsibilities #

1. Make certain all employees in the unit understand their performance goals and the rules and regulations which govern their conduct. Point out and discuss performance issues, rule infractions and, when appropriate, give verbal warning.
2. Document all pertinent facts relating to any performance issues and misconduct.
3. Record dates and substance of verbal warnings and convey the same to UTFI Office of Talent Management (UTFI TM).
4. Consult UTFI TM when contemplating issuance of disciplinary action. Issue the UTFI TM approved warning. Recommended suspension and termination when the employee’s performance or conduct warrants that level of discipline.
5. The CEO must approve any suspension and termination.
6. Document the suspension and termination in accordance with Section 4.

UTFI TM Responsibilities #

Review all disciplinary actions to ensure they are consistent with policy and fairly administered. Review and approve (in advance) all written warnings. Investigate all the facts and circumstances surrounding performance and/or behavioral issues that lead to supervisory recommendations for suspension and termination and report the results of the investigation to the CEO. No investigation shall begin without advance approval of the CEO.

Procedure #

Verbal Warning #

The warning is intended to correct the performance or conduct matter by bringing it to the employee’s attention in a serious yet friendly manner. Although verbal, the warning should be documented in writing, including:

1. The date of the warning.
2. The specific performance or behavior issue.
3. The expected performance or corrective action and a timeline for completion.
4. Any explanation given by the employee or other information the supervisor believes is significant.

The documentation will be placed in the employee’s personnel file by UTFI TM.

Written Warning #

The warning is intended to correct the performance or behavioral issue by bringing it to the employee’s attention and providing a written record of the warning. The warning should be documented in writing, including:

1. The date of the warning.
2. A description of the specific performance or conduct issue.
3. A work improvement plan outlining steps to be taken, goals to be met or other performance or conduct objectives required to correct the performance or conduct at issue and a timeline for completing the same.
4. A statement indicating that failure to meet the goals and objectives within the timeline set forth in the work improvement plan can result in additional disciplinary action, up to and including termination.
5. The supervisor’s signature.
6. Space where the employee may make a written statement in response to the warning. The employee may also provide a written response in a separate document and any such document will be attached to and filed with the warning.
7. A place for where the employee is to sign indicating he or she has received a copy of the warning notice.
8. The employee’s signature signifies that he or she has received a copy of the notice and does not in any way indicate the employee’s agreement with the content of the notice.
9. If the employee refuses to sign the notice, then the supervisor should indicate this fact, along with any reasons for not signing given by the employee, on the warning notice form.

The written warning, along with any written response from the employee, will be filed in the employee’s personnel file by UTFI TM.

Suspension #

During the time of suspension, the employee shall not be physically present in any UTFI or UT office and shall have no contact with any UTFI or UT employee except through the UTFI TM. When suspending an employee, the supervisor or other authorized official must:

1. Consult the UTFI TM office;
2. Place the employee on leave with pay while investigating unacceptable work performance or work-related behavior in order to determine the appropriate action to take.

Termination #

Pre-Termination Meeting: Before terminating an employee for gross misconduct or any reason that would result in loss of accrued annual leave, UTFI TM will convene a pre-termination meeting with the employee. UTFI TM will provide the employee with written notice of the pre-termination meeting. The notice shall include an explanation of the reason(s) for the proposed termination. The employee will have an opportunity to respond to the reason(s) for termination
at the pre-termination meeting.

If a decision to terminate is made, written notice of the termination and a Statement of Separation shall be delivered to the employee by UFTI TM. In the case of terminations of employees outside of the Knoxville area, the CEO may designate the campus Vice Chancellor or Associate/Assistant Vice Chancellor to deliver the written notice of termination and Statement of Separation. The written notice of termination shall include:

1. The effective date of the termination.
2. A description of any compensation which UTFI owes the terminated employee.
3. The CEO or designee’s signature.
4. The notice of termination will be filed in the employee’s personnel record by UTFI TM. In the case of exempt employees, a decision to terminate is final. In the case of non-exempt employees, refer to TM0006D Greivance Procedure.

Termination for Gross Misconduct #

Before suspending or terminating an employee for gross misconduct, the supervisor or vice chancellor must:

1. Consult with the UTFI TM office,
2. Advise the employee, orally or in writing, of the charge(s) against the employee, and
3. Provide the employee an opportunity to respond.

Appeal Process #

The appeal process for employees disciplined or discharged for gross misconduct is as follows:

Non-Exempt. A non-exempt employee may request an administrative review in writing through the appropriate vice chancellor or vice president to the Director of Talent Management. The review process will be coordinated by UTFI TM.

Alternatively, a non- exempt employee may choose to go through the grievance procedure as described in TM0006D Grievances Procedure.

If any employee chooses to receive an informal hearing, a waiver of the employee’s right to proceed under the TUAPA must be signed by the employee.

Exempt. An exempt employee may request an administrative review in writing through the appropriate vice chancellor or vice president to the UTFI TM. The review process will be coordinated by the UTFI TM office.

Alternatively, an exempt employee may request an informal hearing before a panel of three (3) unbiased UTFI employees selected by the UTFI CEO and TM office. Panelists will not be employed in the same department or location as the employee requesting the hearing.

Definitions #

Verbal Warning: A verbal warning is a conversation between a supervisor and an employee held in private about a performance or conduct issue.

Written Warning: A written warning is a formal written notice from the supervisor to the employee documenting a performance or conduct matter.

Suspension: Suspension means the employee is relieved of their job assignment while the unacceptable work performance or work related behavior is investigated.

Termination: Termination means the employee is permanently relieved of all duties and their employment with UTFI is formally ended.

Penalties/Disciplinary Action for Non-Compliance #

Violations of the procedure and any subsections herein may be cause for disciplinary action up to and including termination of employment.

Procedure Administration #

The table below identifies the responsible official, contact information and administrative responsibilities of policy matters.

Subject Matter	Office Name/Position Title	Email/Web Address
Authority	UT Senior Official of Talent Management	[email protected]
Point of Contact	UTFI Executive Director of Talent Management	[email protected]
Policy Location	Public Listing
Policy Review Schedule	Annual Review

History of Revision #

Related Policies/Guidance Documents #

Policy:

TM0002 Disciplinary Action