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HR Policies

Policy # 62.0 Archived Version:
Corrective Action

Revision date of this archived policy:
April 1, 1990

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 disciplinary action leading either to improvement of a staff employee's job performance and/or conduct or, if appropriate, separation.
  62.1.1 Disciplinary action shall occur, as appropriate, under the provisions of the following:
    62.1.1.1 Human Resources Policy and Procedure Number 61.0: Performance Appraisal;
    62.1.1.2 Human Resources Policy and Procedure Number 62.0: Disciplinary 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 discipline.
    62.1.2.1 If disciplinary action as outlined within this policy fails to result in satisfactory progress, or when an employee's misconduct (12.1.3) or job-related conduct (12.1.4) is so severe or so repetitive that separation is justified for the good of the University, the staff employee shall be considered for separation from employment at any time during the period of disciplinary action. The sector personnel office shall be consulted regarding consideration of such separation.
    62.1.2.2 Although the normal progression of corrective discipline incorporates an oral warning, a written warning (or probation), suspension, and dismissal, an administrator may feel that due to the severity or the repetitiveness of a problem a step or steps in the progression may be skipped. Such action may be appropriate, but it is recommended that the matter be discussed with the sector personnel office.
NOTE: This policy provides an effective approach for achieving optimum results for the staff employee and the department and for proper documentation for future reference.
62.2 Delegation
  The University recognizes that situations may occur which require appropriate disciplinary action leading either to improvement of a staff employee's job performance and/or conduct or, if appropriate, separation.
62.3 Procedure
  62.3.1 Disciplinary 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 to be disciplined) shall notify the staff 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 discipline (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 discipline to be taken and the date of the incident. Although the staff 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 discipline for a period of six 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 so severe as to warrant more serious action than a oral warning, the supervisor may start the corrective process 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 correction or identifiable progress toward correction which is satisfactory to the supervisor, or in a case where the conduct (12.1.3) or job-related conduct (12.1.4) is more severe than would warrant only an oral warning, a written warning is generally the next appropriate step in the disciplinary process, in accordance with the severity of the employee's action/inaction. A written warning may coincide with the staff employee's being placed on disciplinary probation (see probation (62.3.1.2.6) and/or suspension (62.3.1.3).
      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 sector personnel office to ensure that corrective discipline (step-by-step) is being taken in accordance with the policies and practices of the University.
      62.3.1.2.2 The written notice shall include the date, place, and circumstance of the problem as well as list the specific violations or work performance problems which have caused corrective disciplinary action to be taken.
      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 a statement of 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 staff employee and shall include the staff employee's signature, or a note of refusal or hesitancy to sign the notice in order to acknowledge notification.
      62.3.1.2.5 Copies of the written notice shall be available for the staff employee upon request, shall be placed in the departmental personnel files, and shall be forwarded to the sector personnel office.
    62.3.1.3 If an offense under 12.1.3 is not serious enough to warrant dismissal, discipline may begin by placing an employee on probation. After appropriate progressive discipline has been administered for a violation of 12.1.4, an employee may be placed on probation.
      62.3.1.3.1 Depending on the seriousness of the offense, disciplinary probation may be invoked by a supervisor with the concurrence of the department head when the offense involves the job performance (12.1.4) or the conduct (12.1.3) of a regular staff employee.
      62.3.1.3.2 In progressive discipline, disciplinary probation may coincide with a staff employee's receiving a written warning, or disciplinary probation may be a beginning step in the disciplinary process, or disciplinary probation may be an additional step after a written warning or suspension.
      62.3.1.3.3 A disciplinary probation shall not normally exceed ninety (90) calendar days. Exceptions for this period may be granted by the sector personnel office.
      62.3.1.3.4 A written notice of this disciplinary probation shall include a statement of the problem, recommended action to improve 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 sent to the sector personnel office.
      62.3.1.3.5 At any point during the disciplinary probation, involuntary separation may occur if progress toward measurable improvement or correction of the stated problem is not being achieved. (See Human Resources Policy and Procedure Number 12.0: Separation from Employment.)
      62.3.1.3.6 At the end of the disciplinary probation, a written statement is to be completed advising the employee of satisfactory performance, of performance objectives achieved, and of removal from this particular disciplinary probation.
NOTE: Supervisors are encouraged to meet regularly and formally with an employee during the disciplinary period and to discuss and document the employee's progress/lack of progress toward correction of the stated problem(s).
      62.3.1.3.7 If progress toward measurable improvement or correction of the stated problem is not achieved, a staff employee on disciplinary probation may be suspended without pay or dismissed (see Human Resources Policy and Procedure Number 12:0: Separation from Employment).
      62.3.1.3.8 Vacation for an employee on disciplinary probation shall be approved by the department head.
      62.3.1.3.9 Transfer of an employee on disciplinary probation shall receive prior approval of the sector personnel office.
    62.3.1.4 Generally, if a staff employee who has received a written warning or who has been placed on disciplinary probation is involved in another incident requiring corrective discipline, the staff employee may be suspended without pay for a period, usually for one or more days, but not usually exceeding one week.
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 a staff employee for work without pay for a definite period of time is a method of discipline for violations of 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 sector personnel office shall be notified as soon as practicable.
      62.3.1.4.3 The staff employee shall be informed of the suspension in written form, and when possible, orally. The staff employee shall be informed of the suspension as soon as possible.
      62.3.1.4.4 The department head, upon recommendation of the supervisor, shall be responsible for administering the suspension without pay and preparing the appropriate supporting letter. Before issuing a suspension, the administrator shall thoroughly review and document previous corrective discipline.
      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 files.

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