UK Human Resources

Policy # 62.0: Corrective Action

Revision date:
August 24, 2015

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 this policy and Human Resources Policy & Procedure #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 termination 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, 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.
  4. 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 may be contacted for advice and consultation regarding corrective action.
Note: The department head/supervisor shall notify the employee of the failure to meet performance requirements, or a violation of University 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 oral warning should include
    1. The date of the warning;
    2. The specific violations or work performance problems that resulted in the  warning;
    3. The date of the incident, if applicable;
    4. The action to be taken to correct the problem(s); and
    5. The consequences of failure to correct the problem(s) or additional violations of University or departmental rules or policies.

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

Probation
 

  1. Probation is generally the next step in the corrective action process if an offense is not serious enough to warrant suspension or termination, 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 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 date of the incident, if applicable;
    5. The action to be taken to correct the problem(s); 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. If a leave is authorized for more than one week during probation, the probation will be adjusted by that length of time.
  6. Transfer of an employee on probation shall receive prior approval from Employee Relations.

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).

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. In any case of suspension, Employee Relations shall be notified as soon as possible.
  2. Suspension is without pay and is generally for a period of one to five working days. The length of suspension is typically dependent upon the nature and severity of the infraction or violation.
  3. Documentation of the suspension shall include
    1. The 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 date of the incident, if applicable;
    5. The action to be taken to correct the problem(s); and
    6. The consequences of failure to correct the problem(s) or additional violations of University or departmental rules or policies.

Suspension Pending Investigation
 

  1. Suspension Pending Investigation is not considered corrective action and may be with or without pay. In any case of suspension pending investigation, Employee Relations shall be notified as soon as possible.
  2. In cases of suspension pending investigation, the suspension may be of undetermined length depending upon the complexity of the case and the involvement of other departments or agencies, however, the investigation will be completed as quickly as possible.  Once the final decision is made on the appropriate level of corrective action, if any, appropriate documentation will be completed.
     

Note:  All corrective action memos 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.  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 (107 Scovell Hall, 0064).

 

Archived Versions of this Policy

Previous version: revised 07-03-2007
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