Corrective Action

Purpose

The University recognizes that situations may occur which require appropriate corrective action leading to improvement of an employee’s job performance and/or conduct or, if appropriate, termination.

Policy

Corrective action shall occur, as appropriate, under the provisions of the following Human Resources Policies and Procedures (HRP&P):

1. HRP&P 61.0: Performance Evaluation,
2. HRP&P 62.0: Corrective Action, and/or
3. HRP&P 12.0: Separation from Employment.

The University’s commonly accepted procedures for corrective action are outlined below.

1) If corrective action fails to result in satisfactory progress, the employee shall be considered for separation from employment. The Human Resources Office of Employee Relations (Employee Relations) shall review and approve the termination.

2) The normal progression of corrective action incorporates a(n)

1. Oral warning,
2. Written Warning,
3. Probation,
4. Suspension, and/or
5. Termination from employment.

3) If an employee’s misconduct or job-related misconduct is severe and/or repetitive, a step or steps in the process may be skipped or combined. It is recommended that skipping or combining a step or steps be reviewed with Employee Relations.

During the new hire orientation period stronger corrective action may be appropriate.

Process

The department head/supervisor is responsible for applying corrective action as necessary for an employee. Employee Relations should be contacted for advice and review appropriate of corrective action.

Note: The supervisor shall notify the employee of the failure to meet performance requirements, or a violation of Univeristy or departmental policies or rules and is responsible for consulting with the appropriate department officials or administrators to ensure that they are in agreement regarding corrective action.

Oral Warning

1) The first notification of a specific problem may be oral.

2) The corrective action shall be delivered as soon as possible after the occurrence which initiated the action.

3) Documentation of the warning should include

1. The time and date of the warning;
2. The specific violations or work performance problems that resulted in the oral warning;
3. The action to be taken to correct the problem(s);
4. The date of the incident, if applicable; and
5. The consequences of failure to correct the problem(s) or additional violations of University or departmental rules or policies.

It is advisable to make a written record of the oral warning for documentation purposes.

Note:  As a general rule, if an employee does not give reason for further corrective action for a period of six months from the date of the corrective action, future corrective action would again be made orally.

Written Warning

1) In a case where acceptable progress toward correcting a problem has not been made, or in a case where the misconduct or job-related conduct is severe, a written warning is generally the next step in the corrective action process.

2) Documentation of the warning shall include

1. The time and date of the warning;
2. The specific violations or work performance problems that resulted in the written warning;
3. The action to be taken to correct the problem(s);
4. The date of the incident, if applicable; and
5. The consequences of failure to correct the problem(s) or additional violations of University or departmental rules or policies.

3) The warning shall be reviewed with the employee and signed by the supervisor and employee. If the employee refuses to sign, this shall be noted in place of the employee’s signature.

Note: Documentation of corrective action, above an oral warning, shall be forwarded to the Human Resources Office of Records (21 Scovell Hall, 0064) for retention in the employee’s personnel record. A copy shall also be given to the employee and Employee Relations (213 Scovell Hall, 0064).

Probation

1) Probation is generally the next step in the corrective action process if an offense is not serious enough to warrant suspension or separation, or if progressive corrective action has not been successful.

2) Probation shall not normally be greater than 90 calendar days.

3) Documentation of the probation shall include

1. The time and date of the warning;
2. The dates of the probationary period;
3. The specific violations or work performance problems that resulted in the probation;
4. The action to be taken to correct the problem(s);
5. The date of the incident, if applicable; and
6. The consequences of failure to correct the problem(s) or additional violations of University or departmental rules or policies.

4) At any point during probation, if the employee is not improving or commits another offense(s), additional corrective action may be taken.

5) At the end of probation, a written statement should be completed advising the employee of satisfactory performance and removal from probation.

6) If a leave is authorized for more than one week during probation, the probation will be adjusted by that length of time.

7) Transfer of an employee on probation shall receive prior approval from Employee Relations.

Suspension

1) Suspension is generally the next step in the corrective action process if an offense is not serious enough to warrant termination from employment, or if progressive corrective action has not been successful.

2) Suspension is without pay, is generally for a period of one to three working days and is dependent upon the nature and severity of the infraction or violation.

3) In any case of suspension, Employee Relations shall be notified as soon as possible. 

4) In cases of suspension pending further investigation, the suspension may be of undetermined length depending upon the complexity of the case and the involvement of other departments or agencies.  Once the final decision is made on the appropriate level of corrective action, if any, appropriate documentation will be completed.

5) Documentation of the suspension shall include

1. The time and date of the warning;
2. The date(s) of suspension;
3. The specific violations or work performance problems that resulted in the suspension;
4. The action to be taken to correct the problem(s);
5. The date of the incident, if applicable; and
6. The consequences of failure to correct the problem(s) or additional violations of University or departmental rules or policies.