Policy 62: Corrective Action - Professional and Support Staff

NOTE: The following procedures supplement Personnel Policy 62. Each section should be read with the related policy section (At Your Service).

A. GENERAL

Performance or misconduct may necessitate an investigatory leave (see Policy 63: Investigatory Leave).

B. TYPES OF CORRECTIVE ACTION

When considering corrective action for exempt employees, a standard work week is defined as seven consecutive 24-hour periods.

C. WRITTEN WARNING (see sample letter)

1. The letter must:
   1. Cite the policy (Policy 62) under which the action is being taken
   2. State clearly that it is a written warning
   3. State the reasons for the action
   4. State the employee's right to review under Policy 70: Complaint Resolution
   5. Include a copy of all materials on which the warning is based
2. The letter must be delivered with proof of service.
3. A copy of the letter, the proof of service, and all attachments must be placed in the employee's departmental personnel file.

D. Written Notice

1. Notice of Intent to Take Corrective Action (see sample letter)
   1. The letter must:
      1. Cite the policy (Policy 62) under which the intended action is being taken
      2. State the intended action
      3. State the reason for the intended action
      4. State the effective date
      5. State the employee's right to respond, orally or in writing, within eight calendar days of date of issuance, and state to whom a response may be directed
      6. Include a copy of the materials on which the intended corrective action is based
   2. The letter must be delivered with proof of service.
   3. A copy of the letter, the proof of service, and all attachments must be placed in the employee's departmental personnel file.
2. Notice of Corrective Action (see sample letter)
   1. The letter should state the reasons for the decision, and should address the issues raised in the employee's response (if any).
   2. The letter must:
      1. Cite the policy (Policy 62) under which the action is being taken
      2. State the action
      3. State the effective date of the action
      4. State that a second notice of intent is NOT required, if the action is a modification of what was stated in the notice of intent
      5. State the employee's right to review under Policy 70: Complaint Resolution
   3. The letter must be delivered with proof of service.
   4. A copy of the letter, the proof of service, and all attachments must be placed in the employee's departmental personnel file.

SAMPLE LETTER OF WARNING

[Employee's Name]
[Campus Address]

Dear [Employee's Name]:

In accordance with Policy 62: Corrective Action, this is a letter of warning. This action is based on your [list performance deficiencies and/or unacceptable behaviors].

On previous occasions detailed reviews of expectations regarding your [performance and/or behavior] have been undertaken to ensure that you understand the requirements of your position. They have been discussed with you orally [list dates, if available] and in writing [list dates of performance appraisals, counseling memos, and previous related corrective actions; attach copies]. However, you continue not to meet these expectations.

Your failure to adhere to the requirements of your job on an ongoing basis has a serious impact on the operations of our department [work unit], and our ability to meet our goals. [Describe in detail, e.g., interrupted service to clients, missed payroll deadlines, safety hazards, overtime for other employees.]

Once again, you are expected to [reiterate performance/behavioral expectations, or attach copies of written standards and/or rules]. Failure to meet these requirements will result in further corrective action, up to and including termination.

You have a right to request review of this action under Policy 70: Complaint Resolution.

Sincerely,

[Supervisor's Name]
[Title]

Attachments:
Policy 62
[Documents referenced in letter]
Proof of Service

cc:
Department Personnel File
Department Head
Department Personnel Manager
Employee Relations Consultant
Employee's Representative, if any

SAMPLE LETTER: NOTICE OF INTENT TO TAKE CORRECTIVE ACTION
(other than a written warning)

[Employee's Name]
[Campus or Home Address]

Dear [Employee's Name]:

In accordance with Policy 62, this is a notice of intent to [specify proposed corrective action]. The effective date(s) will be [identify, consistent with policy relative to exempt or non-exempt status]. This action is based on your [list performance deficiencies and/or unacceptable behaviors].

On previous occasions detailed reviews of expectations regarding your [performance and/or conduct] have been undertaken to ensure that you understand the requirements of your position. They have been discussed with you orally [list dates, if available] and in writing [list dates of performance appraisals, counseling memos, and previous corrective actions; attach copies]. However, you continue not to meet these expectations.

Your failure to adhere to the requirements of your job on an ongoing basis has a serious impact on the operations of our department [work unit], and our ability to meet our goals. [Describe in detail the negative impact or consequences of the employee's performance/ behavior.]

Once again, you are expected to [reiterate performance/behavioral expectations, or refer to and attach copies of written standards and/or work rules]. Failure to meet these requirements will result in further corrective action, up to and including termination.

You have a right to respond to this notice of intent to [action] either orally or in writing, within eight calendar days from the date of issuance. Please direct your response to [reviewer's name, campus address, and campus phone number].

Sincerely,

[Supervisor's Name]
[Title]

Attachments:
Policy 62
[Documents referenced in letter]
Proof of Service

cc:
Department Personnel File
Reviewer
Department Head
Department Personnel Manager
Employee Relations Consultant
Employee's Representative, if any

SAMPLE LETTER: NOTICE OF CORRECTIVE ACTION OR OTHER DECISION

[Employee's Name]
[Campus or Home Address]

Dear [Employee's Name]:

In accordance with Policy 62, this is to inform you of your [action], effective [date, consistent with policy/procedures guidelines].

[Review information provided in management's notice of intent to take corrective action and in employee's response, and explain reasons for decision.]

OR

[Indicate no response was provided by employee, and review reasons for corrective action as stated by management in the notice of intent.]

You have a right to request review of this action under Personnel Policy 70, Complaint Resolution.

Sincerely,

[Reviewer's Name]
[Title]

Attachments:
Policy 62
Notice of Intent to take Corrective Action
Employee's Response
Proof of Service

cc:
Department Personnel File
Department Head
Supervisor
Department Personnel Manager
Employee Relations Consultant
Employee's Representative, if any