8. Corrective Action Procedure

The corrective action process is initiated by the supervisor only after performance issues have not improved as a result of performance improvement planning with the employee.

Note: The provisions of these procedures do not apply to staff members during the initial review period.

Good employment practices dictate the need for a procedure covering discipline and dismissal. The Institute expects all supervisors to conduct frequent dialogue with employees regarding job performance and to conduct annual performance appraisals. A Performance Improvement Plan is to be completed prior to the initiation of any corrective action. (See Forms option on the Human Resources Web Page)

The Institute has developed a policy of progressive actions, detailed below, which provide the employee with notice of performance issues that have not improved as a result of performance improvement planning. Immediate termination is possible for any act deemed by the Institute to be a major act of misconduct (See Appendix 10 for examples of Major Acts of Misconduct).

Employees and supervisors should be encouraged to reach resolution at any time during the process. The supervisor’s written confirmation of problem resolution copied to the employee, the next level supervisor, and the employee’s central personnel file in Human Resources, will complete the corrective action procedure. 
The presence of Human Resources and/or an Ombudsman or member of the Employee Relations Committee during the corrective action process is intended to ensure the employee is treated fairly and Institute policies are followed. Therefore, any fair treatment practices issue which arises in the corrective action process must be dealt with in the corrective action process.

Corrective Action Procedure

In all cases, a performance improvement plan should precede corrective action except when a major act of misconduct has occurred.

Step 1 - Written communication and documentation of corrective action 
Ÿ Supervisor issues written communication to employee outlining performance issue(s) that have not improved as a result of performance improvement planning. A copy of this written communication is retained by the Supervisor and copied to Human Resources and the next level supervisor.

Human Resources or Supervisor schedules meeting to include: Supervisor, Employee, and Director of Human Resources and, if requested by employee, an Ombudsman or a member of the Employee Relations Committee. The purpose of this meeting is to discuss performance issue(s) and to outline steps for resolution. During this meeting, Supervisor notifies employee that this is the first step in corrective action.
Supervisor completes Personnel Action Notification Form documenting issue(s) and suggestions for resolution discussed during the meeting. (See Appendix 11 for Personnel Action Notification Form).

  • Supervisor and employee sign form. Human Resources or Supervisor distributes as follows: original-retained by Human Resources for employee central personnel file; copy- Employee; copy- Supervisor.
  • If employee refuses to sign documentation, the refusal will be noted.

Step 2 - Suspension or Disciplinary Action of Employee

  • If satisfactory resolution is not reached after step one, Supervisor consults next level supervisor and Human Resources and may notify the employee of a one (1) day suspension without pay.
  • In consultation with Human ResourcesSupervisor completes Personnel Action Notification Form and determines appropriate corrective action which may include placing employee on probationary status for a period no less than thirty (30) calendar days and no more than ninety (90) calendar days, or further disciplinary action including loss of privileges, suspension without pay, or termination.
  • Human Resources schedules meeting for next work day following suspension to include: Supervisor, Employee, and Director of Human Resources andif requested by the employee, an Ombudsman or a member of the Employee Relations Committee.
  • At or after the close of this meeting, employee will be notified of the disciplinary action taken. Any probationary period will include periodic performance appraisals to monitor progress toward resolution. The review period will be determined by the supervisor and employee.
  • Supervisor and employee sign form. Human Resources or Supervisor distributes as follows: original-retained by Human Resources for employee central personnel file; copy- Employee; copy- Supervisor.
  • If employee refuses to sign documentation, the refusal will be noted.

Corrective action shall be active for a period of one (1) year from the time the first step was initiated. After a period of one (1) year, in the event of a positive resolution and continued active employment, the corrective action will be considered concluded.

Step 3 - Termination of Employment

  • Provided the issue has not reached resolution as a result of Step 2 or, if additional problems arise during probation, employment may be terminated. Supervisor consults next level supervisor and Human Resources before employment is terminated.
  • In consultation with Human Resources, Supervisor completes Personnel Action Notification Form.
  • Human Resources will schedule a meeting to include: Supervisor, Employee, and Director of Human Resources andif requested by the employee, a member of Ombudsman or Employee Relations Committee. The purpose of the meeting is termination of employment.
  • Personnel Action Notification Form is signed, Human Resources distributes as follows: original- employee central personnel file; copy- Employee; copy- Supervisor.
  • If employee refuses to sign documentation, refusal to sign will be noted.

Termination for Major Act of Misconduct (REV. 09/01/03) 
Immediate termination is possible for any act deemed by the Institute to be a major act of misconduct (See Appendix 10 for examples of Major Acts of Misconduct).

Based on the circumstances surrounding the major act of misconduct, the supervisor in consultation with Human Resources and the President, may terminate the employee immediately.

In all other cases where an employee has committed an act deemed by the Institute to be a major act of misconduct, the supervisor may immediately suspend the employee without pay.

  • In consultation with Human Resources, Supervisor completes Personnel Action Notification Form
  • Human Resources will schedule a meeting for the next work day to include: Supervisor, Employee, and Director of Human Resources and, if requested by the employee, a member of Ombudsman or Employee Relations Committee.
  • Employment may be terminated during this meeting.
  • In the event of termination of employment, arrangements for return of all Institute property issued to the employee or dependents will be made at this time.
  • Supervisor and employee sign form. Human Resources or Supervisor distributes as follows: original-retained by Human Resources for employee central personnel file; copy- Employee; copy- Supervisor.
  • If employee refuses to sign documentation, the refusal will be noted.
  • Note: These items will be documented on each Personnel Action Notification Form:
    • Reason(s) for Corrective Action (definition of problem)
    • Outline of action plan to resolve problem
    • Outline of further action if problem not resolved

Corrective Action Procedure Flowchart

Pre-Step 
Performance Improvement Plan should precede corrective action in all cases except 
when a major act of misconduct has occurred. 
Step 1 - Written Communication and documentation of corrective action

  • Personnel Action Notification PAN Form is completed in consultation with Human Resources prior to supervisor and Human Resources meeting with employee
  • Supervisor and Human Resources meet with employee to discuss concerns (Ombudsman or member of Employee Relations Committee may be present at employee’s request)
  • (PAN) is signed by supervisor and employee
  • Original (PAN) is given to Human Resources; copied given to supervisor and employee

Step 2 - Suspension or Disciplinary Action of Employee

  • Complete this step if satisfactory resolution is not reached after step one
  • PAN form is completed in consultation with Human Resources prior to supervisor and Human Resources meeting with employee
  • Supervisor and Human Resources meet with employee to discuss concerns (Ombudsman or member of Employee Relations Committee may be present at employees request)
  • Employee may be placed on probation
  • (PAN) is signed by supervisor and employee
  • Original (PAN) is given to Human Resources; copied given to supervisor and employee

Step 3 - Termination of Employment

  • Complete this step if satisfactory resolution is not reached after step two or additional problems arise
  • Personnel Action Notification (PAN) Form is completed in consultation with Human Resources prior to supervisor and Human Resources meeting with employee
  • Supervisor and Human Resources meet with employee to discuss termination (Ombudsman or member of Employee Relations Committee may be present at employee’s request)
  • (PAN) is signed by supervisor and employee (If employee refuses to sign, refusal to sign is documented)
  • Original (PAN) is given to Human Resources; copies given to supervisor and employee