Performance Concerns and Corrective Action – Guidance for Managers

The following tools are coaching-oriented and are not disciplinary in nature. They do not affect an employee's status or employment standing and are not placed in the employee's personnel file. Their purpose is to clarify expectations and support improvement.

Most performance concerns can and should be addressed through conversational coaching before any formal action is taken. Supervisors are encouraged to raise concerns and solutions early, clearly, and directly with the employee as part of ongoing performance management. Addressing concerns informally and promptly is both more effective and more respectful than allowing them to accumulate. It may be helpful to both the supervisor and the employee to send a written summary of the conversation and clarified expectations to the employee via email for later reference.

A Memo of Expectations is a written coaching document that clearly describes a supervisor's concerns, states what is expected going forward, and gives the employee a defined opportunity to meet those expectations. It is not disciplinary in nature. It documents a coaching conversation and creates a shared written record of expectations. Failure to meet the expectations outlined in the MOE may result in further corrective action, including formal discipline. 

A MOE  is typically preceded by direct verbal conversations with the employee. It is most appropriate when those conversations have not produced the desired improvement or when the concern warrants a written record for clarity. 

Key elements typically included in a Memo of Expectations: 

• A clear, specific description of the concern with examples, where appropriate 

• A statement of what is expected going forward 

• A defined timeframe for improvement 

• The support or resources the supervisor will provide, if applicable 

• A note that continued failure to meet expectations may lead to further corrective action, which may include formal discipline 

A Memo of Expectations is not placed in the employee's personnel file.  Because it is not disciplinary in nature, supervisors are not required to work with HRS to issue a MOE to their employee, however they may do so if they would like further consultation about this and other performance management tools before issuance. Template available below. 

A Performance Improvement Plan is a structured written tool that may be used when performance or conduct concerns are complex, numerous, or have continued after a Memo of Expectations was issued. A PIP is not a disciplinary action. It is an opportunity for the employee and supervisor to work together on a documented plan with specific goals, a clear timeline, and defined support. Failure to meet the expectations outlined in the PIP may result in further corrective action including formal discipline. A MOE is not necessarily a prerequisite for a PIP.  

Key elements typically included in a PIP: 

• Specific, documented performance concerns 

• Clear, measurable improvement expectations 

• A defined timeframe for meeting the outlined expectations 

• Checkpoints for reviewing progress 

• The support and resources the supervisor will provide 

• A note that continued failure to meet expectations may lead to further corrective action, which may include formal discipline 

Like a MOE, a PIP is not placed in the employee's personnel file.  Because it is not disciplinary in nature, supervisors are not required to work with HRS before issuing a PIP to their employee, however HRS consultation is recommended prior to issuance if the manager is not already familiar with all aspects the performance management process. Template available below. 

The following describes the processes related to formal discipline, and also outlines the steps of formal discipline in UM’s progressive discipline process. Formal disciplinary action affects the employee's employment record and are placed in the personnel file. The Human Resource Services (HRS) office must be consulted prior to a manager issuing formal disciplinary action and is available to provide supervisors assistance in dealing with employee problems prior to the commencement of formal disciplinary action. If the HRS office is not consulted, the disciplinary action may be declared invalid. However, failure to consult with the HRS office shall not be sufficient grounds in itself for a grievance committee or arbitrator to overturn a disciplinary action.

Progressive Discipline refers to the disciplinary process in which employee’s performance and/or conduct issues are addressed in a series of disciplinary actions increasing in severity. Each case is evaluated on a case-by-case basis, but a typical progressive discipline sequence includes a Written Warning Letter, a Suspension Without Pay, and a For Cause Termination. Determination about what level of discipline is appropriate for each unique case should be made in consultation with HRS.

Before any disciplinary action is taken, an investigation must be conducted to determine if discipline is warranted and appropriate. HRS will advise management of how to navigate the investigation process, including how to engage in the required step of holding an investigatory meeting.  An investigatory meeting is a meeting held to gather facts about the specific performance or conduct concern before a disciplinary decision is made. It ensures the employee has an opportunity to respond to the concerns before a final decision regarding disciplinary action is reached. Considerations for the investigatory meeting: 

• The employee must be notified in advance that the meeting is investigatory in nature, and that formal discipline may be an outcome (HRS will provide a template for this notice) 

• The employee, their manager, and a representative from Human Resources must all participate in the investigatory meeting. A union representative or support person may also be present (see below). 

• Weingarten rights: Unionized employees have the right under the National Labor Relations Act to request union representation at an investigatory meeting of this nature. The HRS representative involved in the case will assist the manager and employee in ensuring they have reasonable access to this right to representation.  

• Under certain circumstances, a nonunion employee may also have a right to a representative at an investigatory meeting of this nature. It is the employee’s responsibility to request the presence of a co-worker who is not involved in the circumstances related to the meeting.  

• Notes from the meeting should be documented carefully and retained 

Following the investigation, HRS will consult with the manager about what level of disciplinary action, if any, may be appropriate, as well as other recommended courses of action. 

Employees covered by a CBA have specific rights regarding discipline, and may grieve the actions through the applicable grievance procedure. 

A Written Letter of Warning is typically the first formal disciplinary step in the progressive discipline process. It is issued when performance or conduct concerns have continued after performance support tools have been used, or when the severity of the situation warrants moving directly to formal discipline. It documents the concern, the history of prior coaching and support provided (if applicable), the expected standard going forward, and the consequences of continued failure to meet expectations. 

A copy of the document is shared with the employee, then placed in the personnel file. In some cases, the letter may also be shared with the employee’s union.  

A Suspension Without Pay is typically the next formal disciplinary step in the progressive discipline process, following a Written Warning Letter. It is typically issued when performance or conduct concerns have continued after a Written Warning Letter, or when the severity of the situation warrants moving directly to Suspension. HRS will advise the manager on what length of suspension may be appropriate, following the investigation. The Notice of Suspension is typically in the format of a Written Warning Letter, and is also filed in the employee’s personnel file. 

A copy of the document is shared with the employee, then placed in the personnel file. In some cases, the letter may also be shared with the employee’s union.   

A For Cause Termination may be appropriate when prior steps have not resulted in improvement, or when the severity of the conduct warrants separation from employment. HRS must be involved in any termination decision and must review all documentation before a termination notice is issued. 

The termination notice must be consistent with and supported by the documented corrective action history. A copy of the document is shared with the employee, then placed in the personnel file. In some cases, the letter may also be shared with the employee’s union. 

No. Both are coaching-oriented tools designed to support improvement rather than impose discipline. They do not affect employment standing and are not placed in the personnel file. However, if expectations outlined in a MOE or PIP are not met, formal disciplinary action may result. Contact HRS if you have questions about how to use either tool.

Not necessarily. Though these non-disciplinary performance management tools are often utilized before a manager might consider formal discipline, that is not a required step. In cases in which clearly-outlined expectations are violated, or other severe performance or conduct issues occur, a manager may choose to issue discipline without having first issued a MOE or PIP.

HRS is available to consult at any stage including early informal conversations. A manager is required to contact HRS for consultation before engaging in a disciplinary investigation, issuing any formal written disciplinary document, or initiating termination. Early consultation helps ensure the process is appropriate and gives the employee the best opportunity to improve.

CBA provisions govern the disciplinary process for bargaining unit employees and take precedence over this page. Notice requirements, representation rights, and grievance procedures vary by bargaining unit. Contact HRS before taking any action involving a unionized employee.

Employees covered by a CBA may grieve disciplinary actions through their applicable agreement's grievance procedure. Non-union employees may appeal through applicable UM personnel policies. Contact HRS for guidance on the applicable procedure.

No. Signing indicates receipt of the document, not agreement with its contents.