• If a manager has a concern about the performance and/or behavior of an employee, the manager may issue informal counseling to the employee in the form of a verbal counseling or a written counseling memorandum. The manager should issue informal counseling (verbal or written) to an employee in private (or with an HR Professional present) to address any performance or behavior concerns. This meeting should be held within a short period of time of the behavior or performance concern(s) to discuss the concern.
• A verbal counseling may be appropriate depending upon the situation, and the manager may take contemporaneous notes about any verbal counseling issued to an employee and place the notes in a supervisory file.
• A written counseling memo serves to better document the behavior or performance concern, especially if the concern is pervasive or recurrent and needs immediate correction. The written counseling memo may be accompanied by an improvement or action plan (Managers may consult with VCU HR Employee Relations) and should be retained for future reference in the supervisory file. The employee should receive a copy of any written counseling memo (and any improvement plan) at the meeting held to discuss the manager's concerns, and the manager should maintain a copy of the document retained in the supervisory file upon request.
• Depending upon the level of severity, the manager can bypass the informal counseling step and issue formal discipline.

Written warning I

If the behavior escalates, performance concerns continue, or if the initial concern warrants, a Written Warning I may be issued, documented in writing, and placed in the employee’s personnel file.

• Manager should consult with HR to draft a due process document that includes the actions or issues that caused the Written Warning I, the actions the employee needs to take to correct the behavior/performance issues, and a timetable for the concerns to be corrected.

  • Examples include tardiness, poor attendance, use of obscene language, disruptive behavior, continued unsatisfactory work performance.

• Written Warning I Discussion:

  • Conduct the discussion in private.

  • Explain the purpose for the meeting.

  • Identify the behavior/performance issues and cite specific incidents/examples.

  • Reference the previously communicated counselings, if behavior/performance issue is related.

  • Describe how the behavior/performance issues have impacted business operations.

  • Request input from the employee regarding the reason the behavior/performance issues are occurring.

  • Explain your expectations concerning the situation to the employee and clearly state that this is a Written Warning I.

• Manager should develop a Notice of Needs Improvement to follow the Written Warning I

  • Re-evaluate employee's knowledge, skills and abilities and identify steps the employee needs to take to improve behavior/performance.

  • Include a timeframe with a specific date for the employee to have the behavior/performance resolved.

  • Ensure the employee understands and agrees to comply with ongoing expectations for satisfactory performance/conduct.

  • Make sure the employee understands the consequences of continued inappropriate behavior/unsatisfactory performance.

• Manager documents and forwards a copy of the Written Warning I to the HR Professional to be placed in the personnel file with VCU Human Resources.  

• A copy of the Written Warning I should be issued to the employee.

• Recurring offenses may be escalated to a Written Warning II

• The life of a Written Warning I in an employee’s personnel file is up to the discretion of the issuing department, and in consultation with VCU Human Resources.

Written warning II

If the behavior or performance concerns continue, or if the initial concern warrants, a Written Warning II may be appropriate.  A due process document must be presented to an employee prior to either a Written Warning I or II form being issued that lists the offense(s) and policy violations.

• Consult with your HR Professional for guidance before preparing the Written Warning II.

• Manager may issue a Written Warning II for performance or misconduct issues that the manager considers too serious for a Written Warning I.

  • Examples include failure to follow manager’s instructions or to comply with written policy, violation of a safety rule or rules (where no threat of bodily harm exists), leaving work without permission, failure to report to work without proper notice, unauthorized use or misuse of state property, refusal to work overtime.

• A Written Warning II may follow a Written Warning I for previously addressed performance or misconduct issues.

• A Written Warning II is addressed to the employee as a memorandum and should include the following:

  • Clearly state the performance concern(s) and/or issue(s).

  • If there has been a prior Written Warning I concerning the same or similar issue(s), that fact should be recorded in the Written Warning II, with the previous Written Warning I attached.

  • Expectations for behavior and/or performance improvement.

  • Goals and specific deadlines for meeting performance expectations and/or performance improvement.

  • Stated consequences for continued poor behavior and/or unsatisfactory performance.

• Manager meets with the employee to deliver the memorandum and discuss the details of the Written Warning II.

• Employee is given the opportunity to respond during the meeting and is asked to sign the Written Warning II and/or acknowledge receipt of the form.  If the employee refuses to sign, the manager indicates this on the Written Warning II form before sending it to the HR Professional.

• Manager documents and forwards a copy to their HR Professional to be placed in the personnel file with VCU Human Resources.  

• An employee who receives three Written Warning II's during an 18-month period may be dismissed.  (Consult with VCU HR Employee Relations before doing so.)

  • Depending upon the severity of the initial Written Warning II, an employee may also be dismissed immediately (see Dismissal section of the guidelines).

• A Written Warning II is retained in an employee’s personnel file. 

• Imposed probation is typically issued after a Written Warning II or a Need Improvement or Below rating on an annual performance review, and can be a result of serious behavior and/or performance issues.  

  • Behavior and/or performance issues may result in an Imposed Probation.

• Manager must have approval from VCU HR Employee Relations and the manager’s manager in order to implement Imposed Probation.

• Manager should prepare the Notice of Imposed Probation form to include:

  • Documentation of the behavior and/or performance issue that has caused this type of discipline.

  • The length of the Imposed Probationary period (i.e., 30, 45, 60 or 90 calendar days)

  • The manager’s expectations for the employee during the Imposed Probation (i.e., training, counseling, mentoring).  The manager should also identify any action(s) that they plan to take to assist the employee in meeting their expectations and goals.

  • Clearly stated consequences if the employee fails to correct the poor behavior and/or unsatisfactory performance issue(s), or does not meet the agreed upon expectations at the end of the Imposed Probationary period.

• Manager should meet with the employee to present the Notice of Imposed Probation and allow the employee the opportunity to respond.  A summary of the discussion with the employee, the employee's response, and the expectations for improvements to be made by the employee may be included on the form.  

• At the end of the meeting, the employee is asked to sign the Notice of Imposed Probation, acknowledging receipt. If the employee refuses to sign, the manager indicates this on the Notice of Imposed Probation and sends the original to the HR Professional to be placed in the personnel file with VCU Human Resources.

• Manager should conduct scheduled follow-up meetings with the employee during the Imposed Probation to provide written feedback and guidance.  The manager should meet with the employee at the conclusion of the Imposed Probation to discuss the results.

• Employees who fail to meet the expectations set forth in the Notice of Imposed Probation during the imposed probationary period may be dismissed or face further disciplinary action. (Consult with the HR Professional and VCU HR Employee Relations before doing so.)

• The Notice of Imposed Probation is retained in an employee’s personnel file and the manager may document the Imposed Probation in the performance management system.  The manager may consider the reasons for the Imposed Probation during the annual performance review process given progressive discipline and performance management are integrated processes.

• Manager may suspend an employee with the approval of the manager’s manager and VCU HR Employee Relations where behavioral, performance or misconduct issues pose substantial risk or fail to be corrected.

• Suspension may occur after a Written Warning II or be imposed without notice where behavioral, performance or misconduct issues pose an immediate risk.

• Disciplinary Suspension

  • When an employee is being investigated for alleged criminal conduct that is related to the nature of the employee’s job or to the university’s mission, management may immediately suspend and remove the employee from the workplace without advance notice while continuing pay.  (Consult with the HR Professional before doing so.)

  • An employee who is suspended with pay because of alleged criminal conduct may continue in such status until the employee is formally charged with a criminal offense or the criminal investigation is concluded without any formal charges being made.

  • If the employee is not formally charged or if the employee is not convicted of the criminal charge, the manager may return the employee to work after consultation with VCU Human Resources.

• Prepare the Notice of Suspension using the progressive discipline form (see forms page) to include the following: 

  • The behavior, performance or misconduct issues that posed a substantial risk.  

  • Manager states how long the employee will be suspended and whether the suspension is with or without pay

    • Administrative leave with pay

      • Must have approval of the manager’s manager and VCU Human Resources.

      • May not exceed 15 working days without further consultation with VCU Human Resources.

    • Administrative leave (Disciplinary Suspension) without pay

      • Must have approval of the manager’s manager and VCU Human Resources.

      • May not exceed 10 working days, except in cases where criminal charges are involved.

      • Manager should inform the employee that it is the employee’s responsibility to maintain their benefit payments while on suspension.

• Manager presents the employee with the Notice of Suspension and provides the employee an opportunity to sign the notice, acknowledging receipt.  If the employee refuses to sign, the manager indicates this on the Notice of Suspension and sends the original to the HR Professional to be placed in the personnel file with VCU Human Resources.

• A Notice of Suspension is retained in an employee’s personnel file.

• Manager may demote an employee with the approval of the manager’s manager and VCU HR Employee Relations into a different position with lesser qualifications and lower pay when the employee has demonstrated an inability to satisfactorily perform the essential functions of the current position description.

  • Demotion should not occur without prior Written Warnings I or II from the manager of performance deficiencies with an opportunity for the employee to meet the essential job requirements.

• In determining an appropriate position for demotion, the manager should consult with their HR Professional and determine the most appropriate job family, job title and level.  The HR Professional can be helpful in determining the amount of the salary reduction and providing information to the manager regarding university practice, market data, and salary comparisons for similar positions.

• Manager prepares the Notice of Demotion using the progressive discipline form (on the forms page) to include the following:

  • The reasons for the demotion and the steps taken (or not taken) that led to such a decision.

  • Manager presents the employee with the Notice of Demotion and provides the employee an opportunity to sign the notice, acknowledging receipt.  If the employee refuses to sign, the manager indicates this on the Notice of Demotion and sends the original to the HR Professional to be placed in the personnel file with VCU Human Resources.  

• A Notice of Demotion is retained in an employee’s personnel file.

If the manager (or manager's manager) determines that taking formal disciplinary action, to include but not limited to; a Written Warning I, Written Warning II, Imposed Probation, Suspension, or Demotion against an employee is warranted, the manager should advise the employee, in writing, of the intended action and the reason(s) for the intended action prior to the issuance of the disciplinary action.  Before issuing a due process document to an employee for any formal disciplinary action, the manager should consult with VCU HR Employee Relations. The employee should be afforded a reasonable amount of time to respond, in writing, to the intended action and the facts upon which the intended action is based. Managers should consult with VCU HR Employee Relations after the employee responds to the due process notice and they consider any mitigating or aggravating factors before making a final decision to issue formal discipline to the employee.