Corrective Action Procedures (Nonexempt)

The University follows a policy of progressive corrective action steps in an effort to enable an employee to correct job performance problems and retain employment at the University. The corrective action procedures to be used consist of four progressive steps: First level warning, second level warning, suspension, and termination. Any corrective action taken must be well documented. The originals of all corrective action records must be forwarded immediately to the Office of Human Resources for insertion into the employee’s personnel file. The employee and the employee’s supervisor will receive and retain a copy of the corrective action memo.

Generally, a supervisor begins the corrective action process when an employee commits an infraction, fails to improve job performance, or fails to change a job behavior after having been counseled to do so. The supervisor may proceed through the corrective action steps as necessary. In some cases the seriousness of the infraction or performance issue may warrant skipping one or more steps in the corrective action procedure.

Attendance should be separated from all other performance issues for purposes of applying the corrective action procedure. For example, an employee who has received a first-level warning for a performance-related issue should receive a first-level warning (rather than a second-level warning) for his/her first attendance-related issue that warrants corrective action.

Corrective action is active for a period of two years. Therefore, if there is cause for further corrective action within two years, the next level of corrective action normally will be taken. If it is more than two years, but less than five years, from the last similar corrective action, the same level of corrective action generally should be applied. If it has been five or more years since the last corrective action, no reference will be made to the previous corrective action.

Guidelines for Corrective Action Memo

Any time corrective action is initiated it should be documented in a written memo to the employee from the employee’s supervisor. The corrective action memo must include the following:

The action being taken (i.e., first level warning, second level warning, suspension, or termination.)
The specific violation or problem (e.g., desired job performance as compared to actual job performance.)
Specific instances of problem behavior or violations including dates and times.
Review of past counseling discussions or corrective action steps.
Description of the impact of employee’s behavior on organization or work group.
Statement of expectations and established time frame.
Description of consequences (e.g., if this step fails, you may be subject to further corrective action up to and including termination of employment.)
Description of Complaint Procedure for Nonexempt Staff and of the Employee Assistance Program (EAP) and how to access each.
Supervisor’s signature.
Employee’s signature (does not necessarily indicate that employee agrees, but only that he/she has received the memo.)

NOTE: The corrective action memo should include vocabulary which can be easily understood by the employee. The tone should be factual and objective rather than judgmental and inflammatory.

The corrective action memo should be signed by the employee and the employee’s supervisor. If the employee refuses to sign it, this should be noted on the memo. The employee should be given a copy of this memo.

First Level Warning

The first level warning is used as a formal method of informing an employee of a relatively minor violation of University or departmental rules/regulations or other work-related problems. Generally, the first level warning occurs after an employee has received counseling from the supervisor related to the problem behavior. The purpose of issuing the first level warning is to help the employee change the job behavior.

Examples of when a first level warning might be appropriate include, but are not limited to, the following: Excessive absenteeism or tardiness; failure to meet job standards; failure to work scheduled hours; or failure to meet departmental appearance standards.

First Level Warning Procedures:

Before the meeting:

Conduct a thorough investigation of the incident(s) or violation(s).
Review any notes you have made regarding the problem.
Prepare a draft of the corrective action memo and a short outline or agenda for the meeting.
Ask the employee to meet with you in your office or other private area.

During the meeting:

State the specific problem in terms of desired job performance as compared to actual job performance.
Refer to any counseling sessions or previous casual conversations you and the employee have had about the problem.
Give the employee a chance to respond and explain.

Tell the employee the specific change in job performance you expect.
Ask the employee to confirm his/her understanding of your expectations.
Tell the employee that this is a first level warning - the first step of the corrective action procedure.
Indicate your confidence in the employee’s ability to perform properly in the future.
Review the corrective action procedure and the consequences if insufficient improvement is shown.
Review Complaint Procedure for Nonexempt Staff.

After the meeting:

Review and revise (if necessary) the corrective action memo and obtain the employee’s signature.
Give a copy of the corrective action memo to the employee.
Write a short note for your files summarizing the meeting -- stick to the facts; avoid opinions and editorial comments.
Monitor the employee’s performance to make sure that the problem has been corrected.
Forward the original corrective action memo to the Office of Human Resources.

Second Level Warning

The second level warning is used when performance and/or attendance problems persist or when action more severe than a first level warning is warranted. Examples of when an immediate second level warning might be appropriate include, but are not limited to, the following: willful violations of safety rules or University, safety practices; horseplay; obscene or abusive language; or failure to report an on-the-job accident to supervisor.

Second Level Warning Procedures:

The procedures for the second level warning are the same as those provided for the first level warning with some additions. During the second level warning meeting, refer to the first level warning and describe any progress made toward correcting problem area(s). Explain what gaps still exist between desired job performance and actual performance. Tell the employee that this is a second level warning and reiterate the corrective action procedure and consequences for failure to sufficiently improve.

Suspension Without Pay

A suspension without pay is the third step in the corrective action procedure. A suspension of three or more scheduled working days is issued when performance and/or attendance problems persist or when the offense is of such seriousness that a first and/or second level warning is not appropriate. The department director must consult with the appropriate Business Partner in the Office of Human Resources before an employee is suspended.

Examples of when an immediate suspension might be appropriate include, but are not limited to, the following: Sleeping while on duty; being under the influence of alcohol or drugs (with a mandatory EAP referral); or failing to report to work for two consecutive days without making contact.

Suspension Procedures:

Before the meeting:

Conduct a thorough investigation of the incident.
Review your plan to place the employee on a suspension with your supervisor and the Office of Human Resources.
Determine how you will cover the employee’s work during the period of the leave. Do not share any information about the suspended employee with other employees.
Review the previous warnings (if applicable), and any other relevant information.
Prepare a draft corrective action memo and make an outline of the points you need to cover during the meeting.
Ask the employee to meet you in your office or other private area.

During the meeting:

State the specific problem in terms of desired job performance as compared to actual job performance.
Review your previous conversations, the first level warning and the second level warning (as applicable).
Give the employee a chance to respond and explain.
Ask the employee to confirm that he/she knows exactly what is expected.
Review the Complaint Procedure for Nonexempt Staff.
Explain to the employee that he/she should use the three day, non-paid suspension to decide whether he/she can work for the University, abide by its regulations and meet all performance expectations.

After the meeting:

Review and revise (if necessary) the corrective action memo and obtain the employee’s signature.
Give the employee a copy of the corrective action memo.
Summarize the conversation in writing -- as always, stick to the facts and avoid opinions and editorial comments.
Forward the original suspension memo to the appropriate Business Partner in the Office of Human Resources.

Termination

If all prior disciplinary actions do not assist the employee in correcting his/her behavior, or if the nature of the violation is so serious that a first or second level warning or a suspension are not appropriate, then the employee is subject to termination. Termination is the fourth and final step in the progressive corrective action procedure. The supervisor must consult with the appropriate Business Partner in the Office of Human Resources before an employee may be terminated.

Immediate termination may be appropriate, for example, if an employee fails to report to work and fails to call in for three consecutive work days. Other causes for dismissal include but are not limited to theft, fighting, or using illegal drugs on University property. The University reserves the right to terminate for any reason not prohibited by law.

There are two (2) circumstances under which termination occurs:

Planned termination is where the employee has been through the steps of the corrective action procedure and has not changed behavior.
Crisis termination is where the employee commits an offense which is so serious (theft, insubordination, etc.) that termination is appropriate whether or not any steps of the corrective action procedure have been taken previously. Please contact the appropriate Business Partner in the Office of Human Resources before termination.

Planned Termination - Before the meeting:

Conduct a thorough investigation to make sure that termination is appropriate.
Collect and review all supporting documents (copies of the First Level and Second Level Warnings and Suspension Without Pay) memos, attendance records, informal notes on counseling sessions, etc.).
Review your plan to terminate the employee with your supervisor and the appropriate business partner in the Office of Human Resources.
Prepare the termination memo and an agenda or outline of the major points you need to cover during the meeting.
Anticipate the questions the employee is likely to ask and be well prepared with the answers.
Determine whether it would be advisable to have a Business Partner and/or a management witness present. In addition, consider whether security personnel should be on standby.

Employee Questions:

The employee probably will have several questions that the supervisor must be able to answer. Get the answers to these and any other likely questions before beginning the meeting.

When do I get my final paycheck? The employee’s final paycheck will be mailed directly to his/her home. Unique situations may allow the supervisor to make the necessary arrangements with the Payroll Department to have the employee’s final paycheck prepared and ready to give to the employee at the time of termination.
Will I get paid for unused vacation or sick leave days? Vacation - yes, Sick days - no.
What happens to my insurance coverage and other benefits? Insurance coverage will continue until the end of the policy month following the last day worked. The employee should be referred to the Office of Human Resources (631-5900 for askHR) if he/she has any specific questions about insurance or other benefits. The terminated employee (unless the reason for termination is gross misconduct) will be provided an opportunity to continue health insurance coverage under federal COBRA law.
What will other companies be told when they call to check references? The University will only verify dates of employment and last position held unless written authorization is received from a former employee to provide additional information.
Will I get unemployment compensation? The employee is welcome to file an unemployment compensation claim with the State. Upon notification of the claim, the University will file all pertinent facts regarding the employee’s employment. Any employee who has specific questions regarding his/her unemployment compensation should be referred to the Office of Human Resources, askHR at 631-5900.

Timing:

The best time to hold the meeting is at the end of the work day. There will be more time available and the employee will not be embarrassed by having to leave in the middle of the day.

Your Attitude:

Remember that even when you are terminating an employee for cause, you still are dealing with a human being. Your approach should be calm, mature, and business-like. In explaining the decision to terminate the employee, focus on the performance, not the person. Beware of the risk of defaming the employee.

During the Meeting Procedures:

Meet with the employee in your office or some other private area.
Tell the employee that he/she is being terminated.
Explain the job-related reasons for the termination.
Give the employee any information he/she needs about benefits, insurance, and similar matters.
Ask for and answer any questions the employee may have. If you are unable to answer a question, make every effort to get the question answered.
Confirm the employee’s current address and telephone number.
Pick-up all University property in the employee’s possession (keys, identification card, University procurement card, American Express card, parking decal, tools, manuals, etc.)
Discuss final paycheck arrangements.
End the conversation on as positive a note as possible. Express your hope that he/she will find more success with a future employer. Do not, however, convey an apologetic tone.
Make sure the employee receives a copy of the termination memo.

Crisis Termination - Procedures:

At the time of the incident:

Direct the employee to a private area where you can hold a private conversation.
Immediately contact your supervisor and the appropriate Human Resources Business Partner in order to review the situation.
With the supervisor or other management as a witness, tell the employee, "You are suspended, possibly without pay, pending investigation of this incident."
Tell the employee when to return (usually at the start of work on the next day).
Instruct the employee on the necessity of confidentiality
Instruct the employee that it is necessary for them to leave the premises.
If the employee refuses to leave, call Security for assistance.
After the employee has left, immediately write an account of the entire incident.
Ask any witnesses to write an account of exactly what they observed.

After the incident:

Review the situation with your supervisor, the appropriate Business Partner in the Office of Human Resources and any management witnesses.
Conduct a complete investigation of the incident.
Determine if termination is warranted.
If termination is warranted, follow the procedures for Planned Termination when the employee returns.
If termination is not warranted, determine whether other corrective action (first or second level warning or suspension) should be taken. If so, take the appropriate steps when the employee returns.
If the investigation indicates that no corrective action is appropriate, advise the employee when he/she returns and pay him/her for the time away from work while suspended.

Additional Information Regarding Terminations:

The following information applies any time an employee is terminated:

Department director must consult with the appropriate Human Resources Business Partner before any action is taken to terminate an employee.
During the orientation period, employees may be terminated without using the corrective action procedure for inadequate performance, poor attendance, or other disciplinary reasons. The appropriate Business Partner in the Office of Human Resources must be notified prior to the termination.
All employees who are terminated will be paid for services rendered and any vacation earned.
Department directors must immediately complete a Separation Form and forward it to the Office of Human Resources.
In most cases termination should result only after proper corrective action procedures have been followed.

Guidelines for Corrective Action Steps

The list below is to be used only as a general guideline. Individual circumstances must be evaluated in consultation with the appropriate Office of Human Resources Business Partner. An exhaustive listing of all the reasons that will justify corrective action and/or termination is not possible. The infractions listed are merely reflective of the types of unacceptable conduct that could result in corrective action or discharge.

Example Infraction	Action Steps
	1st Offense	2nd Offense	3rd Offense	4th Offense
Loitering or loafing during working hours	first level warning	second level warning	3-day suspension	termination
Failure to report absence in a timely manner	first level warning	second level warning	3-day suspension	termination
Failure to report absence for 1 to 2 days	first level warning	second level warning	3-day suspension	termination
Excessive tardiness	first level warning	second level warning	3-day suspension	termination
Excessive absenteeism	first level warning	second level warning	3-day suspension	termination
Failure to meet job standards	first level warning	second level warning	3-day suspension	termination
Failure to work scheduled hours (leaving early or working overtime without permission)	first level warning	second level warning	3-day suspension	termination
Failure to meet department dress code	first level warning	second level warning	3-day suspension	termination
Failure to punch in/out		second level warning	3-day suspension	termination
Posting, removal or defacing of notices, signs, or writing of any form on any bulletin boards or University property without permission	second level warning	3-day suspension	termination
Willful violations of safety rules or University safety practices	second level warning	3-day suspension	termination
Obscene or abusive language	second level warning	3-day suspension	termination
Failure to report on-the-job accident or injury to supervisor	second level warning	3-day suspension	termination
Inappropriate conduct towards other employees, students, visitors	second level warning	3-day suspension	termination
Horseplay or throwing objects	second level warning	3-day suspension	termination
Improper use of University property	second level warning	3-day suspension	termination
Sexual/Discriminatory Harassment	second level warning	3-day suspension	termination
Threatening, intimidating, or coercing employees, students, or visitors on University property at any time	3-day suspension	termination
Misrepresentation of paid/unpaid leave benefits (sick, jury, funeral, FMLA)	3-day suspension	termination
Challenge, criticize, obstruct, abuse or interfere with supervisor	3-day suspension	termination
Sleeping on the job	3-day suspension	termination
Possession of firearms or weapons on University property	3-day suspension	termination
Unauthorized release of confidential data	3-day suspension	termination
Unauthorized release of confidential data	3-day suspension	termination
Being in areas outside of assigned responsibilities without approval	3-day suspension	termination
Reporting to work under the influence of alcohol or drugs	3-day suspension	termination
Possession of unauthorized alcohol/drugs or use of alcohol/drugs on the job	3-day or more suspension	termination
Theft of University, other employee’s, visitor’s or student’s property	minimum 30 day suspension	termination
Insubordination - direct refusal to do an assigned job or obey an order termination - willful failure to do an assigned job or obey an order second level warning	3-day suspension	termination
Fighting (aggressor & victim if participant)	termination
Falsifying time cards	termination
Failure to report to work for three consecutively scheduled workdays without notifying immediate supervisor	termination
Falsification of Employment Application or other necessary data requested during the employment process	termination
Immoral conduct or indecency during working time	termination
Deliberate destruction or damage to University property or property of fellow employees in any manner	termination

This list is to be used only as a general guideline. Individual circumstances must be evaluated in consultation with the appropriate Business Partner in the Office of Human Resources. (Refer to page 11 of this policy for additional information).

The Role of the Employee Assistance Program (E.A.P)

In addition to using corrective action to resolve an employee's performance problem, assistance may be available through the Employee Assistance Program (E.A.P). Starting with the first level warning, the employee should be notified of the availability of the E.A.P. as a resource to assist in resolving the performance problem. At the second level warning or suspension step, the supervisor may choose to make mandatory E.A.P. referral if appropriate.

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