PERSONNEL PROCEDURES FOR UC IRVINE STAFF MEMBERS

Separation Actions

Procedure 62: Corrective Action - Professional and Support Staff

Responsible Office: Human Resources
Issued:
November 2002

A. References

Personnel Policies for Staff Members

  • Policy 62, Corrective Action--Professional and Support Staff
  • Policy 63, Investigatory Leave
  • Policy 64, Termination of Career Employees--Professional and Support Staff
  • Policy 70, Complaint Resolution

Personnel Procedures for UCI Staff Members

B. Authority and Responsibility

Department heads and supervisors are responsible for taking appropriate corrective action in consultation with Human Resources.

C. Guidelines

    1. General
      1. Corrective action is a formal action initiated by a supervisor to correct and/or improve an employee's less than satisfactory conduct and/or performance.
      2. Corrective action is intended to be a stimulus for positive change.
      3. Corrective action shall be consistent with University policy, and reasonable under the circumstances. Action taken is to be corrective in nature, not punitive (see 2.d.).
      4. Prior to taking any corrective action, the supervisor shall consult with the department head and the Human Resources Consultant.
      5. Normally, formal corrective action begins with a Written Warning. Subsequent acceptable corrective actions include, but are not limited to, temporary or indefinite within-range salary decreases, demotions, and suspensions without pay.
      6. Initial corrective action more serious than a Written Warning may be warranted by performance or conduct that demonstrates a severe lack of judgment, integrity, competence, or attention to duty, or otherwise substantially interferes with or endangers the University's interests. (See Policy 62, Corrective Action, Policy 63, Investigatory Leave, and Procedure 63, Investigatory Leave.)
      7. Investigatory Leave enables management to remove immediately from the premises an employee whose continued presence would potentially disrupt operations or otherwise endanger University interests. (See Policy 63, Investigatory Leave and Procedure 63, Investigatory Leave).
    2. Determining Appropriate Action

      The following should be considered in determining if corrective action is warranted:

      1. Are there established conduct and performance expectations? Are they reasonable and justifiable?
      2. Have such expectations been communicated clearly to employees? Is there evidence that the employee understood, or reasonably should have understood, the expectations and the possible consequences?
      3. Did the supervisor attempt to uncover and objectively consider all relevant facts? (See Procedure 63, Investigatory Leave, C.2.)
      4. Is the corrective action chosen reasonable under the circumstances? Is it timely and appropriate? Are employees in similar circumstances treated similarly? In determining reasonableness, did management consider the following:
        • Severity of the offense or deficiency;
        • Circumstances of commission or omission;
        • Employee's general conscientiousness, integrity, and work performance as reflected in performance appraisals, record of prior incidents, and length of satisfactory service;
        • Adequacy of training or supervision provided;
        • Legitimate obstacles to proper performance or other mitigating circumstances; and
        • Evidence of prior warning.
    3. Corrective Action Preparation

      Normally, Corrective Action should be preceded by:

      1. Informal Discussion(s)

        In most instances, the supervisor should have a private, informal discussion with the employee as soon as a concern develops about the employee's performance or behavior. The objective of the discussion is to:

        • 1) Advise the employee of the supervisor's concerns and/or issues regarding the employee's conduct and/or performance.
        • 2) Provide the employee with examples/incidents of the poor performance and/or a description of the inappropriate behavior.
        • 3) Explore the facts and underlying causes of the problem and provide the employee the opportunity to respond.
        • 4) Provide clear expectations regarding performance standards and behavior.
        • 5) Set forth plans for correcting deficiencies.
        • 6) When appropriate, establish a method for measuring results.
      2. Written Memorandum

        A written memorandum from the supervisor to the employee may be used to confirm or summarize the informal discussion (see Exhibit A), or to constitute a counseling memorandum (see Exhibit B).

    4. Employee Right to Representation
      1. An employee may request a representative of the employee's choice, other than a University employee who has been designated as supervisory, managerial, or confidential, to be present when there is reason to believe that a meeting may result in corrective action. If the employee's preferred representative is not available to attend a meeting scheduled by the University, the employee shall arrange for an alternate representative for the meeting.
      2. If the supervisor has any questions regarding the nature of the meeting, relative to the employee's right to representation, or if the employee requests representation, the supervisor is encouraged to consult with Human Resources.

D. Corrective Action Procedures

      1. Written Warning

        If the employee does not demonstrate the required improvement within a reasonable period of time after the informal discussion, the supervisor may conduct a second discussion to determine if circumstances exist which justify the lack of improvement. If acceptable reasons are not discovered, the supervisor may issue a formal Written Warning (see Exhibit C) to the employee. The Written Warning must:

        1. Cite the policy (Policy 62, Corrective Action--Professional and Support Staff) under which the action is taken.
        2. Describe the unsatisfactory performance and/or behavior.
        3. Refer to the supervisor's prior attempts/discussions with the employee to improve and/or correct unsatisfactory performance and/or behavior, and include a copy of any material on which the Written Warning is based.
        4. State the supervisor's expectations about what is required to improve and/or correct the unsatisfactory performance and/or behavior;
        5. Advise the employee that further corrective action, up to and including dismissal, may be taken unless there is immediate and sustained improvement;
        6. Advise the employee of the employee's right to request a review of the corrective action under Policy 70, Complaint Resolution.
      2. Written Notice of Intent to Take Corrective Action

        A Written Notice of Intent to Take Corrective Action is required (except for a Written Warning), pursuant to Policy 62, Corrective Action--Professional and Career Staff (see Exhibit D).

        The Notice, which must be issued to the employee at least eight calendar days prior to the effective date of the intended corrective action, shall:

        1. Cite the policy under which the action is taken (Policy 62, Corrective Action--Professional and Career Staff)
        2. State the intended corrective action.
        3. State the reason for the corrective action.
        4. State the effective date(s).
        5. Include a copy of any materials and/or previous documentation of corrective action on which the intended action is based.
        6. State the employee's right to respond orally or in writing within eight calendar days from the date of the written notice, except in cases of misconduct, when the response time may be shorter.
        7. Include a Proof of Service.
      3. Written Notice of Corrective Action

        After consideration of the employee's response, if any, or within eight calendar days from the date of the Written Notice of Intent to Take Action, whichever comes first, the supervisor will provide the employee Written Notice of any action to be taken (see Exhibit E). Such action may not include corrective action more serious than that described in the Written Notice of Intent; however, the supervisor may reduce the corrective action without the issuance of a further notice of intent. This Notice shall:

        1. State the action to be taken;
        2. State the effective date(s) of the action; and
        3. State the employee's right to request a review of the action under Policy 70, Complaint Resolution.
        4. Include a Proof of Service.
      4. Proof of Service

        Proof of Service is required when Written Notice of Intent to Take Corrective Action or Written Notice of Corrective Action is mailed or personally delivered to the employee. A copy of the Proof of Service must accompany the Written Notice. Proof of Service provides verification of mailing or personal delivery, and establishes the date of issuance of the notice. It should be prepared by someone other than the supervior and who is not a party to the corrected action.

        1. Mailing. Written Notice of Intent to Take Corrective Action or Written Notice of Corrective Action may be sent through the U.S. Postal Service, First Class, to the employee's last known home address. (It is each employee's personal responsibility to inform the University in writing of any change to the employee's home address.) Proof of Service of mailing consists of:
          • 1) Date mailed,
          • 2) Name of recipient,
          • 3) Address mailed to, and
          • 4) Name, work address, and signature of person doing the mailing (see Exhibit F).
        2. Personal Delivery. Written Notice of Intent or Written Notice of Corrective Action may be delivered to the recipient employee in person. Proof of Service of personal delivery consists of:
          • 1) Date delivered,
          • 2) Name of recipient,
          • 3) Location of delivery, and
          • 4) Name, work address, and signature of person personally delivering the Notice(s) (see Exhibit G).

E. Applicability to Professional and Support Staff

Professional and Support Staff, except employees who are in a bargaining unit that has an exclusive representative (union) and are covered by the applicable provisions of the collective bargaining agreement.


Procedure 62: EXHIBIT A

Sample Confirming Memorandum

Date
Name
Title

RE: Confirming Memo - Performance and/or Behavior

This is to confirm the meeting(s) I had with you on date(s) in which I expressed my concerns and expectations regarding issue(s).

I specifically mentioned my concern(s) about incident(s), including date(s), of the poor performance or the inappropriate behavior, and my expectations that, in the future, you will provide clear expectations regarding performance standards and/or behavior. At this meeting we agreed that describe plans for correcting deficiencies. (These may have included a referral to the Faculty and Staff Assistance Program. If so, add:) I also referred you to the Faculty and Staff Assistance Program at 824-8355 for confidential assistance in resolving any personal problems that may be affecting your work performance and/or behavior.

I trust you understand my expectations and the need for improvement, and I look forward to immediate and sustained improvement in these areas. Please let me know if you have any questions.

Supervisor


Procedure 62: EXHIBIT B

Sample Counseling Memorandum

Date
Name
Title

RE: Counseling Memo - Performance and/or Behavior

This memo is intended to address my concerns and expectations regarding describe concern(s)/issue(s).

I specifically want to bring to your attention my concern(s) about incident(s), including date(s), of the poor performance or the inappropriate behavior, and my expectations that, in the future, you will provide clear expectations regarding performance standards and/or behavior. I also expect that describe plans for correcting deficiencies. (If appropriate, this may include a referral to the Faculty and Staff Assistance Program. If so, add: I encourage you to contact the Faculty and Staff Assistance Program at 824-8355 for confidential assistance in resolving any personal problems that may be affecting your work performance and/or behavior.)

I trust you understand my expectations and the need for improvement, and I look forward to immediate and sustained improvement in these areas. Please let me know if you have any questions.

Supervisor


Procedure 62: EXHIBIT C

Sample Written Warning

Date
Name
Title

RE: Written Warning - Performance and/or Behavior

In accordance with Personnel Policies for Staff Members, Policy 62, you are receiving this Written Warning because of your failure to improve your describe the unsatisfactory performance and/or behavior.

I have discussed my concerns and expectations with you on date(s). At that time or on those occasions I brought to your attention my describe concern(s)/issue(s) and impact and my expectations that you would reiterate clear expectations regarding performance standards and/or behavior. We established describe plans for correcting deficiencies. To date, there has been no marked improvement in these areas. To the contrary, provide example(s)/incident(s), including date(s), of the poor performance or the inappropriate behavior that has occurred since the time of the informal discussion(s). Effective immediately, you are expected to describe what is required to improve and/or correct the unsatisfactory performance and/or behavior.

(If it is appropriate to refer the employee to the Faculty and Staff Assistance Program, add: I encourage you to contact the Faculty and Staff Assistance Program at 824-8355 for confidential assistance in resolving any personal problems that may be affecting your work performance and/or behavior.)

Failure to demonstrate immediate and sustained improvement in these areas may result in further corrective action, up to and including dismissal.

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

Supervisor

c: Department Head
Human Resources

Attachments: Prior Confirming and/or Counseling Memos dated_______________


Procedure 62: EXHIBIT D

Sample Written Notice of Intent to Take Corrective Action

Date
Name
Title

RE: Written Notice of Intent to _______________

In accordance with Personnel Policies for Staff Members, Policy 62, this is to inform you that effective at least 8 calendar days from date of issuance, I intend to state the intended corrective action, e.g., temporary or indefinite within-range salary decrease, demotion, or suspension without pay.

This action is being taken as a result of state the reason(s) for the corrective action. I have discussed my concerns and expectations with you on date(s). On date you received a Written Warning advising you that failure to demonstrate immediate and sustained improvement in these areas would result in further disciplinary action, up to and including dismissal. Yet, there has been no marked improvement. Since the Written Warning, provide example(s)/incident(s), including date(s), of the poor performance or the inappropriate behavior that has occurred.

You have the right to respond to me orally or in writing on or before 8 calendar days except in cases of misconduct, when the response time may be shorter with reasons why this action should not be taken. You have the right to representation in presenting your response.

Supervisor

c: Department Head
Human Resources

Attachments:
Written Warning dated_______________
Prior Confirming and/or Counseling Memos dated_______________
Proof of Service dated_______________


Procedure 62: EXHIBIT E

Sample Written Notice of Corrective Action

Date
Name
Title

RE: Written Notice of Corrective Action: Salary Decrease, Demotion, or Suspension without Pay

After careful review of the information you provided me on date, in your response to the Notice of Intended Corrective Action, dated _______________, I find no basis to rescind the intended action. Therefore, effective date(s), state the action to be taken.

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

Supervisor

c: Department Head
Human Resources

Attachment: Proof of Service dated_______________


Procedure 62: EXHIBIT F

Sample Proof of Service: Delivery by U.S. Mail

PROOF OF SERVICE

Delivery by U. S. Mail

I declare that I am over the age of eighteen years and am not a party to the action described in the attached notice. My work address is University of California, Irvine, Department/Unit Name, Room Number + Building Name + Zot Code, Irvine, California, 92697-Zot Code. On (date), I served the attached (Written Notice of Intent to Take Corrective Action or Written Notice of Corrective Action) by placing in the United States mail a true copy, enclosed in a sealed envelope with postage fully paid, addressed as follows:

(Name of Recipient)
(Street Address)
(City, State, Zip Code)

I declare under penalty of perjury that the foregoing is true and correct and that this declaration was executed on (date) at Irvine, California.

Signature
Name Typed Here


Procedure 62: EXHIBIT G

Sample Proof of Service: Personal Delivery

PROOF OF SERVICE

Personal Delivery

I declare that I am over the age of eighteen years and am not a party to the action described in the attached notice.. My work address is University of California, Irvine, Department/Unit Name, Room Number + Building Name + Zot Code, Irvine, California, 92697-Zot Code. On date, I personally delivered the attached (Written Notice of Intent to Take Corrective Action or Written Notice of Corrective Action :__________) to:

(Name of Recipient)
(Location)

I declare under penalty of perjury that the foregoing is true and correct and that this declaration was executed on (date) at Irvine, California.

Signature
Name Typed Here