Functional Pathways10133 Sherrill Blvd, Suite 200
Knoxville, TN 37932 (865) 531-2204
TITLE: / DISCIPLINE GUIDELINES / Page 1 of 5DEPARTMENT: / PERSONNEL DEPARTMENT
EFFECTIVE DATE: / JULY 1997
Updated 5/2015, 5/2015 / INDEX NUMBER:
APPROVED BY: / Dan Knorr, President
I. POLICY/PROCEDURE:
When it is determined that an employee is not fulfilling the responsibilities of the position to which he/she is assigned, violating any of the company’s policies and rules, exhibiting inappropriate behavior and/or acts which violate the normal and reasonable standards of work force conduct as determined by company administration, the following guidelines may be regarded in order to determine objectively that the employee has been given an opportunity to correct a deficiency. Some violations warrant immediate termination.
INTRODUCTORY EMPLOYEES: A new employee of introductory status whose performance is unsatisfactory may be terminated if he/she fails to demonstrate ability or desire to perform at an acceptable level. A criteria based job description will be used to evaluate and document the new employee’s performance prior to the end of the 90-day introductory period. An introductory period may be extended for an additional 90 days where required by completing a 90-day evaluation and by initiating a performance improvement action plan to monitor the progress of the employee.
NON-INTRODUCTORY EMPLOYEES: Disciplinary situations involving employees who have completed the introductory period should be assessed and discipline consistently applied to assure equitable treatment and encourage acceptable performance.
Although cause is not necessary for termination, violation of any of the company’s policies and rules may result in termination or less severe disciplinary action. (See “Employee Handbook”.) Disciplinary action, up to and including dismissal will be enforced for acts by employees which violate the normal and reasonable standards of work force conduct as determined by the company administration. In making a decision as to what discipline should be imposed for a violation of company rules, the company will take into consideration all of the circumstances involved, as well as the employee’s overall work record with the company.
INFORMAL DISCUSSION/COUNSELING: When a performance problem is first identified by the supervisor/advisor, the problem should be thoroughly discussed with the employee after thoroughly investigating all complaints.
A criteria based job description/performance appraisal should be used to evaluate and document the performance related problem. This discussion should then be documented by the supervisor/advisor and the documentation forwarded to the Human Resources Director. A “Counseling Statement” (see sample) should be used to document this discussion with the employee and the time frame given for improvement.
REPRIMAND: If the informal discussion has not produced an improvement within the designated time frame, a formal written notice should be used to document the violation of rules or unsatisfactory performance, expected future conduct and/or performance and the period of time in which improvement must be seen.
The advisor/supervisor should:
A. Contact your direct supervisor and the VP of HR
B. thoroughly investigate all complaints,
C. meet with the employee to review the problem(s),
D. permit the employee to present his/her views,
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E. advise the employee that the problem must be corrected and designate the time frame for when improvement should occur,
F. inform the employee that failure to correct the problem will result in further disciplinary action which may include discharge,
G. With approval of supervisor and VP of HR, complete the reprimand notice form documenting the problem, the solution, the time frame for improvement, and the employee’s signature that they understand and their comments.
Reprimand should always be in consultation with the VP of HR.
IMPOSED PROBATION: Employees may be placed on imposed probation for one to three months on the authority of their immediate supervisor. The decision to place the employee on probation should be documented and the documentation should be forwarded to the HR Department. After this period, the employee’s performance should be reassessed with a criteria based job description performance appraisal. Employees who fail to respond to guidance during the imposed probation will be subject to termination. Merit increases will not be given to an employee who has been on an imposed probation period during the past year, but other benefits will not be affected. Probation should be in consultation with the VP of HR, or designee.
DEMOTION: The Company reserves the right to demote an employee due to inadequate performance or inappropriate conduct. Documentation indicating the demotion should be prepared and forwarded to the HR Department by the supervisor using the “Counseling Statement” form or copy of a formal notice prepared for the employee being demoted. Demotion should be in consultation with the VP of HR or designee.
SUSPENSION: Employees may be suspended from duty by the supervisor in consultation with the VP of HR and Compliance Director. Disciplinary suspension will be without pay. Paid Days Off may not be taken during the period of suspension and PTO time will not accrue. All remaining employee benefits will continue in effect.
DISMISSAL: A dismissal is a termination of employment which is initiated by the company. Terminations should be in consultation with the VP of HR and/or Compliance Director or their designees. If at any time a facility requests an employee of Functional Pathways to not be working in their facility, Functional Pathways will consider the customer’s request and the employee could be terminated from employment.
COMBINED INFRACTIONS: Unacceptable behavior, poor performance, and/or violations of
Facility operational procedures or policies may be combined for the purposes of corrective action,
up to and including termination of employment. Typically, consideration of behaviors,
performance, and/or violations, should take into account the entire scope and history of an
employee’s behavior and performance when considering corrective action. Where an employee
exhibits unacceptable patterns of behavior, performance and/or violations, including recurrent
absenteeism, marginal or poor work performance, poor relations with customers and/or co-
workers, or an excessive number of disciplinary actions, appropriate levels of discipline may be
taken to correct the problem(s), up to, and including termination.
ACTIVE DISCIPLINE: There will be occasions when a disciplinary action will remain active in the
employee’s file indefinitely. For all others, a one (1) year timeframe will result in a disciplinary
action becoming inactive and the manager will then start the process anew in the event the
employee repeats the same offense. It is not possible to list all disciplines that would, or would not, remain active in the personnel file but examples of infractions are listed below.
· Example of a disciplinary that would remain active in the personnel file indefinitely would be a HIPAA and/or Compliance discipline.
· Example of a disciplinary that become inactive after a period of time would be a discipline for tardiness and/or absences.
DOCUMENTATION of DISCIPLINARY ACTION: All disciplinary actions, including verbal, must be
documented. The manager giving the disciplinary action may keep a copy of any disciplinary
action in his or her desk, and is required to submit to a copy to the VP of HR once all signatures
are obtained. If the employee refuses to sign the action after the manager has reviewed the
content of the warning, the manager should request another leader to witness the employee’s
refusal or document at the bottom of the form that the employee refused to sign and request that
the employee sign the refusal. If the employee also refuses to sign the refusal statement, the
manager should initial and date the refusal statement him/herself.
PERFORMANCE IMPROVEMENT PLAN: To assist with identifying tangible goals and objectives for employees needing performance improvement, the manager and/or employee may develop a Performance Improvement Plan addressing key areas of improvement needed. The employee must sign this form once all objectives and associates outcomes are understood. A copy of the signed plan should be forwarded to the VP of HR for inclusion in the personnel file.
CONDUCT THAT MAY LEAD TO DISCIPLINARY ACTION: It is not possible to list all acts or misconduct that may result in disciplinary action. The following list is merely a guideline of some of the more obvious types of actions or misconduct which may result in immediate termination or other disciplinary action:
Examples of conduct that may result in immediate termination:
· Possession of illegal drugs, weapons, firearms or incendiary devices on facility premises were prohibited.
· Theft or attempted theft of Facility, employee, patient or visitor property.
· Patient abuse or neglect.
· Falsification or omission of pertinent information and/or records, e.g. employee timecard, employment application or other information or medical records.
· “NO Call, NO Show” absence (when possible to call).
· Deliberate destruction or misuse of any Facility/company property.
· Violation of patient confidentiality or privacy.
· Refusal to submit to substance screening (when required).
· Sleeping while on duty.
· Failure to maintain a required license, certification, registration or accreditation.
Other behavior that may result in disciplinary action, up to and including termination:
· Unsatisfactory work performance.
· Disorderly conduct that may endanger the security/safety of any employee, patient or visitor on Facility premises.
· Arrests during employment – must be reported immediately to the manager and VP of Human Resources for further review. If not reported, could result in immediate termination of employment.
· Abuse of property of patients, visitors or employees.
· Threatening, intimidating, coercing, using abusive language, or otherwise interfering with patient care.
· Refusal to comply with instructions or failure to perform assigned tasks.
· Use of Facility material, time or equipment for personal use or for the manufacture or production of any article for unauthorized purposes or for personal use.
· Discrimination/Harassment of employees, patients, or Facility visitors.
· Disruptive and Intimidating behavior.
· Unprofessional or unethical conduct.
· Excessive absenteeism or tardiness.
· Gambling or playing games of chance of Facility property.
· Failure to complete a required orientation or refusal to complete mandatory re-orientation assignments.
· Violation of the Compliance Program, including the Code of Conduct and duty to report.
· Unauthorized absence from the Facility during working hours.
· Failure to comply with OSHA standards.
REFUSING ASSIGNED TASKS: An employee’s refusal to perform an assigned task is unacceptable. To ensure that an employee is aware of the task that he/she is to perform before being disciplined the following process should be followed:
Note: If more than one employee refuses to perform the task, or if a single employee refuses on behalf of other employees too, consult the VP of HR and Compliance Officer before implementing a discipline.
Acceptable reasons for a refusal are that the employee: is not qualified to perform the task, safety and/or health is at risk, requests exclusion from patient care because the treatment presents a conflict with an employee’s cultural values, sense of ethics or religious beliefs.
REPORTING TO LICENSING BOARDS: Employees who fail to report to work as scheduled may be subject to immediate termination. In addition to termination, the employee may be reported to the state licensing board via the Compliance Department for patient abandonment if direct patient care is part of the employees assigned job duties. This includes all employed and contracted staff of Functional Pathways.
LICENSING BOARD: Employees who fail to renew their professional license, prior to the expiration, or who fail to report immediately upon notification to the VP of Human Resources and/or VP of Compliance any license suspension or license issues resulting in the employee not being able to perform his/her job duties, will result in disciplinary action up to and including termination of employment.
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Functional Pathways Counseling Statement
Manager Signature: ______Facility: ______
TO: Employee Name: ______
Position: ______Date:______
HR REVIEWED/APPROVED:
PROBLEM NOTED: ______
______
______
[ ] HIPAA / Compliance [ ] absent from required inservice
[ ] business image/uniform does not meet expectations [ ] breaks - unauthorized or excessive
[ ] excessive tardiness/absences [ ] acts affecting productivity of coworkers
[ ] inappropriate conduct [ ] complaint - patient, co-worker, facility staff
[ ] damage to company property [ ] unauthorized over time
[ ] performance does not match expectations [ ] refusal of job assignment/schedule
[ ] failure to comply with company policy & procedure [ ] safety violation
[ ] quality of service does not meet standard [ ] other
[ ] overtime refusal as authorized or requested [ ] leaving facility without approval
The following standards that will be expected from the employee in the future are:
______
______
These expectations are important because of the following impact on the work environment:
______
______
ACTION [ ] Mandated Additional Training (if required, please outline above)
[ ] Verbal Reprimand
[ ] Written Reprimand
[ ] Schedule change/reassigned work area or location
[ ] Work status change from to
[ ] Probation for days (initiate Performance Action Plan)
[ ] Demotion from ______to ______
[ ] Suspension for day(s) (without use of PTO)
[ ] Termination
The consequences of not successfully meeting these expectations have been explained to me. I understand that these matters may be reviewed or reassessed at any time by Functional Pathways. I have read and received a copy of the above statements. I do [ ] do not [ ] wish to submit written comments of my own about this matter.
Employee Signature: Date Signed: ______/______/______
FAX COPY TO HR DEPARTMENT AT 855-685-1308
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