Policy 107: Disciplinary Actions
Covered Individuals: All CEI Employees
CEI expects its employees to meet its performance expectations and adhere to CEI’s Employee Code of Conduct and Ethics as well as other applicable policies and procedures. Employees who fail to meet performance expectations or engage in unacceptable conduct shall be subject to corrective action.
The objective of the process is to assist the employee in resolving the problem or to provide appropriate documentation to support actions taken if the problem is unresolved. Nothing in this is intended to, or should be construed to, alter CEI’s right to discharge an employee at any time or for any reason. CEI, at its discretion, shall determine, based on the circumstances of each matter, which and how many steps in the progressive discipline process may take place prior to discharge.
Employees must take personal responsibility for their conduct. Enforcement of CEI’s policies among employees is the continuing responsibility of supervisors. When employees fail to meet established standards or violate CEI policy, initiation of the four-step discipline process described below may be necessary:
- Verbal Coaching – Conversation will be followed up in the form of an email from supervisor to employee and Human Resources to be retained in the employee personnel file. Documentation is retained for a minimum of 12 months.
- Written Warning – Documentation is retained for a minimum of 18 months in the personnel file maintained by Human Resources.
- Final Written Warning – (which may include suspension with or without pay, depending on the circumstances). Documentation is retained for a minimum of 18 months in the personnel file maintained by Human Resources. This is a Performance Improvement Plan (PIP).
- Demotion, Involuntary Transfer, or Termination – Documentation is retained permanently in the personnel file maintained by Human Resources.
Documentation of disciplinary actions maintained by Human Resources in the personnel file is removed only by Human Resources upon receipt of a written request from the employee following the minimum period of retention noted above. The minimum period of retention for all disciplinary actions in a file will restart each time a new disciplinary action is taken and documentation is submitted for retention in the personnel file. Documentation of disciplinary actions that were previously withdrawn are not affected by the receipt of a new document. It is the expectation that any performance infraction serious enough to merit documentation is of sufficient significance to be referenced in the annual performance review.
A recommendation for demotion, involuntary transfer, or termination should be documented in writing, should state the reason(s) for which the action is being taken, and should outline the efforts, if any, which have been made to improve the employee’s performance or address the conduct in question. Further, any such recommended action should be discussed with the HR Executive Director and approved by the appropriate dean, vice president or president.
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