Policy # 62.0 Archived Version:
Corrective Action

Revision date of this archived policy:
July 11, 2002

Note: This is not a current version of the policy. View current version. »

62.1 Policy

The University recognizes that situations may occur which require appropriate corrective action leading either to improvement of a staff employee's job performance and/or conduct or, if appropriate, separation.

  62.1.1 Corrective action shall occur, as appropriate, under the provisions of the following:
    62.1.1.1 Human Resources Policy and Procedure Number 61.0: Performance Management;
    62.1.1.2 Human Resources Policy and Procedure Number 62.0: Corrective Action; and/or
    62.1.1.3 Human Resources Policy and Procedure Number 12.0: Separation from Employment.
  62.1.2 Outlined herein is the University's commonly accepted procedures for corrective action.
    62.1.2.1 If corrective action fails to result in satisfactory progress, the employee shall be considered for separation from employment. The Director of Human Resource Services, or designee, shall review and approve such separation.
    62.1.2.2 Although the normal progression of corrective action incorporates an oral warning, a written warning or probation, suspension, and dismissal, if an employee's misconduct (12.1.3) or job-related conduct (12.1.4) is severe or repetitive, a step or steps in the progression of corrective action may be skipped. It is recommended that skipping steps in the corrective action process be discussed with the Director of Human Resource Services, or designee.
    62.1.2.3 During the orientation period stronger corrective action (progressive corrective action steps) may be warranted.
62.2 Delegation

The department head is responsible for corrective action as necessary for an employee. The Director of Human Resource Services, or designee, should be contacted for advice and for review of corrective action.

62.3 Procedure
  62.3.1 Corrective action shall be carried out in the following manner and/or according to the provisions of 62.1.1 within this policy.
    62.3.1.1 The supervisor (the department head or employee delegated supervisory authority and responsibility for the employee subject to corrective action) shall notify the employee of the failure to meet performance requirements of the job, of a violation of University rules or regulations, or of a failure to follow work orders.
      62.3.1.1.1 The first notification of a specific problem may be oral. Oral corrections or reprimands are, normally, the responsibility of the first-line supervisor.
      62.3.1.1.2 The supervisor shall deliver the oral correction or warning as soon as possible after the occurrence that necessitated the action.
      62.3.1.1.3 The oral correction or warning may include a description of corrective action the employee shall take and may include a specific time limit by which measurable progress shall be made toward correcting the performance problem.
      62.3.1.1.4 It is advisable to make a written record of the time and date of the oral warning, the reason it was given, corrective action to be taken and the date of the incident. Although the employee may or may not be shown the notation, the supervisor is responsible for keeping other levels of supervision informed of actions taken.
      62.3.1.1.5 As a general rule, if an employee does not give reason for further corrective action for a period of six (6) months from the date of the oral warning, future corrections would again be made orally.
      62.3.1.1.6 In the event that an incident is severe and warrants more serious action than an oral warning, a corrective action may start at a more advanced level, to include written warning, probation, suspension, or separation.
    62.3.1.2 In a case where proper oral notice of a problem, as outlined in 62.3.1.1, has not resulted in corrected or identifiable progress toward correction which is satisfactory to the supervisor, or in a case where the misconduct (HRP&P 12.1.3) or job-related conduct (HRP&P 12.1.4) is severe and warrants more than an oral warning, a written warning is generally the next appropriate step in the corrective process, in accordance with the severity of the employee's action or inaction. A written warning may coincide with the employee's being placed on corrective probation and/or suspension.
      62.3.1.2.1 The supervisor is responsible for consulting with the official supervisory chain to ensure that agreement has been reached as to whether a written warning is warranted. The supervisor should contact the Director of Human Resource Services, or designee, to ensure that corrective action is being taken in accordance with these policies and procedures.
      62.3.1.2.2 The written notice shall include the date, place, and circumstances of the problem and shall list the specific violations or work performance problems that have resulted in corrective action.
      62.3.1.2.3 The written notice shall include a specific time limit by which identifiable progress shall be made toward correcting the problem. The written notice shall include the consequences of failure to correct the problem.
      62.3.1.2.4 The written notice shall be signed by the supervisor. The written notice shall be discussed with the employee and shall include the employee's signature, or a note of refusal to sign the notice in order to acknowledge notification.
      62.3.1.2.5 Copies of the written notice shall be made available to the employee upon request, shall be placed in the employee's department personnel file, and shall be forwarded to the Employee Relations Office of Human Resource Services.
    62.3.1.3 If an offense under HRP&P 12.1.3 is not serious enough to warrant dismissal, probation may be the initial corrective action or may be used when other progressive corrective actions have not been successful.
      62.3.1.3.1 In progressive corrective action, probation may coincide with an employee's receiving a written warning, or probation may be an initial step in the corrective action process, or probation may be an additional step after a written warning or suspension.
      62.3.1.3.2 Probation shall not normally exceed ninety (90) calendar days. Exceptions may be granted by the Director of Human Resource Services, or designee.
      62.3.1.3.3 A written notice of probation shall include a statement of the problem, recommended action to correct the problem, and a time period during which sufficient identifiable improvement or correction of the stated problem shall be achieved. A copy of this written notice shall be discussed with the employee; a copy shall be given to the employee and forwarded to the Employee Relations Office of Human Resource Services.
      62.3.1.3.4 At any point during probation, involuntary separation may occur if progress toward measurable improvement or correction of the stated problem is not being achieved (see HRP&P 12.0).
      62.3.1.3.5 At the end of probation, a written statement should be completed advising the employee of satisfactory performance, of performance objectives achieved, and of removal from probation.
  NOTE: Supervisors are encouraged to meet regularly with an employee during the corrective action period and to discuss and document the employee's progress or lack of progress toward improvement or correction of the stated problem(s).
      62.3.1.3.6 If progress toward measurable improvement or correction of the stated problem is not achieved, an employee on probation may be suspended without pay or dismissed (see HRP&P 12.0).
      62.3.1.3.7 If vacation is approved for a week or more during a probation period, the probation period is automatically extended by that length of time.
      62.3.1.3.8 Transfer of an employee on probation shall receive prior approval of the Director of Human Resource Services, or designee.
    62.3.1.4 Generally, if an employee who has received a written warning or who has been placed on probation is involved in another incident requiring corrective action, the employee may be suspended without pay for a period, usually for one or more days, but not usually exceeding one week. It is recommended that the department consult with Employee Relations of Human Resource Services prior to taking action.
  NOTE: If an employee's problem is poor work performance rather than a violation of work rules, regulations, policy, or practice, a second written warning may be issued in lieu of suspension without pay.
      62.3.1.4.1 Suspension of an employee from work without pay for a definite period of time is a method of corrective action for violations of HRP&P 12.1.3 or 12.1.4, depending on the severity of the infraction or violation.
      62.3.1.4.2 In any case of suspension, the Director of Human Resource Services, or designee, shall be notified as soon as practicable.
      62.3.1.4.3 The employee shall be informed of the suspension as soon as possible, in writing, and when practicable, orally.
      62.3.1.4.4 The department head, after consultation with the supervisor, shall be responsible for administering the suspension without pay and preparing the appropriate supporting letter. Before issuing a suspension, the department head shall thoroughly review and document previous corrective action.
      62.3.1.4.5 The length of the suspension shall be in accordance with the severity of the infraction or violation and/or the employee's work record.
      62.3.1.4.6 Documentation of the suspension shall be placed in the employee's personnel file and forwarded to the Employee Relations Office of Human Resource Services.

Archived Versions of this Policy

Previous version: revised 05-18-2007
Previous version: revised 11-08-2006
Previous version: revised 04-01-2006
Previous version: revised 07-11-2002
Previous version: revised 04-01-1990