Guidelines & Templates for Performance Management Documentation
Progressive discipline is an opportunity to educate the employee and to promote
successful performance. The goal of any disciplinary action is to improve performance
and/or behavior. Policies related to performance management can be found at
http://policies.emory.edu/ under Employee Relations. When discussions with an
employee are unsuccessful in improving performance, the supervisor may need to
move to a formal, written warning.
Elements of a Written Warning
1
. State the problem*
2. Refer to previous discussion(s) with the employee and/or the action(s) taken to date.
3. State the specific directives for correcting the unacceptable performance and/or
conduct.
4. Indicate that the notice represents formal discipline and is a warning or final warning.
5. Inform the employee of the consequences for lack of improvement, and/or that
continued failure to meet expectations will result in further discipline, up to and
including termination.
6. Signature and date lines for employee to sign.
*state the facts of the situation without references to a protected class**, inferences,
assumptions, or legal or medical opinions such as,
“You seem to have a really bad attitude.”
“You fraudulently obtained….”
“I think you may be depressed.”
**race, color, religion, ethnic or national origin, gender, genetic information, age, disability,
sexual orientation, gender identity, gender expression, veteran’s status
Sample: Written Warning
<<Department Header>>
<<Date>>
<<Employee name>>
<<Employee office address>>
<<Dear (first name),>>
You are being given this written warning to reinforce the importance of carrying out your
assigned duties properly and/or following all Emory University and departmental
policies, practices and procedures.
(Sample items. Use only those that apply):
• Tardiness: Emory University Human Resources Policy, 4.62, provides that
employees may be disciplined for “Failure to follow Emory’s policies or procedures.” In
this department, that means that you are to be at your workstation promptly at 8:00
a.m., ready to perform your assigned duties, greet visitors, and answer the phone. I
have discussed this matter with you several times, most recently on, <<dates>>. It is
critical that you improve your punctuality.
• Failure to perform: Emory University Human Resources Policy, 4.62, Standards of
Conduct, provides that employees may be disciplined for,
“Neglect of duty or failure or refusal to perform job-related duties and
assignments.” This means that you are expected to perform all work assignments at a
satisfactory level. On <<dates>> you were asked to reconcile the xxxx account which is
a fundamental duty within your job description. This task was completed 3 and 6 days
late, respectively, and contained several errors. It is extremely important that this task
be performed accurately and on schedule.
• Communication/behavior: Emory University Human Resources Policy 4.62,
Standards of Conduct, prohibits, “Inappropriate, disruptive, discourteous or irregular
behavior adversely affecting students, employees, patients, or visitors.” On <<dates>>,
in a public area of the building in the presence of students and customers, you argued
loudly with your supervisor, using inappropriate language and exhibiting discourteous
behavior. You then left the area, slamming the door behind you. I have discussed
similar behavior with you several times before, most recently on <<date>> when you
received a verbal warning and you were advised how to address disagreements you
may have with your supervisor. Such behavior must stop immediately.
• Policy violation: Emory University Human Resources Policy, 4.62, Standards of
Conduct, provides discipline for failure to follow policies and procedure, “An employee
on jury duty is expected to report to work, where reasonable conditions exist, for all or
part of the scheduled workday(s) that he/she is not engaged in jury service.” On
<<date>>, you did not contact your supervisor after you were dismissed from jury duty
at 9:30 a.m., well within the workday period when you could have returned to work. You
are expected to observe all attendance-related policies and procedures.
During your new employee orientation, you were informed that you are responsible for
complying with the policies set forth in the Human Resources Policies. At that time you
received a copy of the departmental work rules.
The <<department name‘s>> expectations for this position remain unchanged from our
previous discussions. Continued failure to meet and maintain these expectations will
result in further disciplinary action up to, and including, termination of employment.
<<Employee’s first name>>, I am confident that you are capable of meeting this/these
expectation/s and I look forward to your improved performance and contributions to this
department.
Sincerely,
<<Supervisor’s signature>>
By my signature below, I hereby acknowledge that I received a copy of this notice of
discipline. My signature does not necessarily indicate agreement with the contents.
<<Employee Name>> <<Date>>
cc:
Department Head name & title
Name, Divisional Director, Human Resources
Name, Director, Employee Relations, Human Resources
Central Human Resources file
