POLICY: CORRECTIVE ACTION
POLICY NUMBER: HR-43
Effective Date: July 2002
Revisions: June 2002, July 2000
Responsible Officer: Senior Vice President of Human Resources
CORRECTIVE ACTION NOTICE
PURPOSE:
This policy was established to ensure consistency and fairness of counseling and corrective action measures and to provide a mechanism and opportunity for an employee to correct a work-related problem.
I. POLICY:
The University provides for a progressive system of corrective action, which may be used for employees who experience certain work-related problems. Such problems are generally characterized as performance, behavior and/or attendance-related issues. This policy also provides for acceleration of the corrective action process depending on the nature, frequency and severity of the violations and an employee’s history of work-related problems.
II. ELIGIBILITY:
This policy applies to all non-faculty employees not affiliated with collective bargaining units.
III. DEFINITIONS:
Corrective Action is defined as official action taken by a supervisor/manager to address and correct a work-related problem. Normally, there are four formal steps of corrective action: verbal counseling, written warning (with or without probation), administrative leave or disciplinary suspension and termination of employment. Verbal Counseling is the first step in the corrective process. Verbal counseling informs the employee that a problem exists.
Written Warning (with or without probation) is the second step in the corrective action process. A written warning is typically issued for a repeated and/or ongoing work-related problem in which the employee has failed to correct a problem and verbal counseling has not been successful. Probation may accompany a written warning. Administrative Leave is the temporary removal from the work environment of an employee following allegation of misconduct or serious nonperformance, in order to allow time for a review of facts related to the situation. Disciplinary Suspension is a punitive action for temporarily removing the employee from the work environment following a finding of gross misconduct or serious nonperformance. Termination of Employment is the final step in the corrective action process. Termination occurs when the employee has failed to correct a problem or situation despite receiving verbal counseling, written warnings or suspension. Letter of Improvement is a written acknowledgement of improvement to the individual that he/she has corrected a particular problem or situation. Termination may occur immediately without prior corrective action, depending on the nature, frequency or severity of a violation. Termination decisions must be reviewed by the responsible Vice President or Dean and may be implemented only after approval of the Department of Human Resources.
IV. GUIDELINES:
A. During the Introductory Period, employees will be governed by the Introductory Period policy.
B. When a supervisor/manager identifies (a) work-related problem(s), he/she is responsible for communicating and reviewing the problem(s) with the employee and counseling the employee of the consequences of continued problems. Generally at least one counseling session, which is supported by documentation, should occur prior to implementation of the second step in the corrective action process.
C. Supervisors/managers are responsible for following up on any corrective or disciplinary action, to make sure it has accomplished the desired change in the performance of the employee.
D. When counseling efforts have not been successful in correcting a work-related problem and/or additional work-related problems develop, the supervisor/manager may choose to continue the formal corrective action process. The supervisor/manager is responsible for determining the course of
action taken after review and consultation with the Department of Human Resources.
E. Disciplinary suspensions, administrative leaves and terminations must be reviewed by the Department of Human Resources prior to issuance. When requesting review of a potential termination decision, the supervisor/manager is responsible for producing adequate documentation regarding actions taken to correct a problem.
F. Behaviors or situations that may warrant corrective action and/or acceleration of the corrective action process include, but are not limited to:
- Negligence or failure to attend to customer needs that has the potential to cause harm to that customer, fellow employee, patient, visitor, or student.
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Inappropriate behavior toward a customer, fellow employee, patient, vendor, visitor or student.
- Insubordination, which is defined as refusal to carry out a specific, legal and work-related directive or request issued by an appropriate member of management.
- Inappropriate or unauthorized release, discussion or disclosure of confidential information.
- Unauthorized possession, use, theft, or damage to property of the organization, fellow employees, visitor and/or patients.
- Unauthorized possession, use, consumption, sale or transfer of illegal drugs or alcohol on University property.
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Reporting to work under the influence of drugs and/or alcohol. (See policy on Drug and Alcohol Free Workplace.)
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Possession of weapons or explosives on University property.
- Falsifying and/or omitting information on organization records and/or requests for information, including but not limited to employment applications, time cards, or attendance records.
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Violations of policies, regulations or practices related to principles of customer service and the Code of Ethics. Excessive absenteeism/tardiness. (See policy on Attendance.) HR – 43
- Unlawful or improper conduct while on work time including leaving the work area or University premises without prior permission of supervisor/manager.
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Failure to perform work-related responsibilities satisfactorily.
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Unlawful or improper conduct while off duty which could have a harmful or detrimental effect on the operation or reputation of the University.
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Failure to follow departmental rules or guidelines related to performance, attendance and/or behavior.
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Sleeping while on work time.
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Conviction for a crime which may call into question the employee’s appropriateness or ability to properly carry out the responsibilities of his/her position.
G. An employee may respond, in writing, to the corrective action issued. The written response will be placed in the personnel file.
H. An employee’s signature on corrective action certifies that he/she has been informed of the violation and the consequences of continued violations. However, an employee’s signature does not indicate agreement with the action.
V. PROCEDURES:
A. Verbal Counseling - When a supervisor/manager identifies an employee who may be experiencing a work-related problem, s/he is responsible for communicating the problem to the employee and working with the employee to correct the problem on an informal level. This can be done through one-on-one counseling, development of a performance improvement plan or other appropriate methods. Clear, specific and concise standards and expectations for improvement should be communicated to the employee in this counseling session. Although this step is considered a verbal counseling session, the supervisor/manager must document the session by noting the date, time, and nature of the conversation in the event a positive result does not occur. The documentation should be signed and dated by the supervisor/manager and placed in the departmental employee file. The employee does not receive a copy.
B. Written Warning - If the employee does not correct the situation within the specified period of time, the supervisor will communicate the necessary
performance change to the employee in writing and establish a new period of time within which the performance change is expected.
C. Probation - During the written warning stage, probation may be issued/continued as part of the corrective action process. If, at the end of the probationary period, the employee receives no documentation, the probationary period will be considered as successfully completed. An employee will be notified in writing if the probation is to be extended.
D. Administrative Leave - Certain issues may require an investigation by the Department of Human Resources. In situations where the behavior or conduct is such that the safety or welfare of the employee, students, fellow employees, patients, visitors or others may be at risk, the employee may be placed on administrative leave pending closure of such investigation. The investigation into the incident should be completed as soon as reasonably possible. At the conclusion of the investigation, if the employee is found to be at fault, appropriate action will be taken, up to and including termination. If it is determined that termination is not warranted, the employee will be reinstated.
E. Disciplinary Suspension - A disciplinary suspension may be used instead of termination. The period of a disciplinary suspension should be consistent with the seriousness of the offense, but in no case should be longer than one month.
F. In certain instances, a work-related problem, depending on the nature, frequency or severity, may warrant acceleration of the corrective action process, up to and including termination of employment. These situations should be reviewed with the Department of Human Resources prior to the communication of a decision.
G. During the corrective action process, the supervisor/manager (in consultation with the Department of Human Resources) should:
1. Prepare the necessary documentation. Corrective action documentation should include the employee’s name, job title, department and hire date. In addition, the documentation should include a statement of the problem or issue, description of events leading up to the action being taken, description of the level of action being taken (written warning/leave/suspension/termination), and a statement of the consequences for failure to correct the problem. (The Corrective Action Form - use is optional - is available for this purpose).
2. Review the documentation with the Department of Human Resources. Administrative leaves, disciplinary suspensions and terminations must be
reviewed with the Department of Human Resources prior to issuance to the employee.
3. Schedule a meeting with the employee to discuss the situation and to communicate actions. This meeting should be conducted in a private setting with no interruptions.
4. Sign the form prior to issuance to the employee.
5. Advise the employee that he/she may make comments on the form and that, if he/she disagrees with the action taken, he/she may contact the Department of Human Resources regarding the Grievance/Complaint Resolution process. Employees not covered by a collective bargaining unit may follow procedures established in the Grievance/Complaint Resolution process. University employees who are covered by collective bargaining agreements should refer to the appropriate contract article.
6. The employee should be asked to sign the form acknowledging receipt of the documentation. If the employee refuses to sign the form, note that on the form.
7. Give Written Warning, Disciplinary Suspension or Termination document to the employee. A copy should be sent to Human Resources for retention in the employee’s file.
8. After issuing the corrective action, the manager should follow-up on a regular basis to determine whether the problem or situation has been corrected.
H. At the employee's written request, records of corrective actions (e.g., warnings, notices of suspension) that are more than two years old will be removed from the personnel file. An addition or correction to the file can be requested in writing if the employee believes it is in order.
I. When a situation has been improved at any step in the corrective action process, the manager/supervisor may send a Letter of Improvement to the individual with a copy to the Department of Human Resources. The letter should express anticipation of continued satisfactory performance and/or behavior.
Additional Information: Inquiries regarding this policy can be directed to the Human Resources Department.
