Appendix 7 Performance Notice and Corrective Action
- PURPOSE
Gonzaga University needs the very best skills, efforts, and performance of its employees to fulfill its mission, and operates from the assumption that employees take their work seriously and conduct themselves with pride and self-respect. Periodically, employees may have performance problems or workplace behavior which fails to meet University standards. These problems are best addressed jointly by supervisors and employees. Supervisors are responsible for communicating performance and conduct standards to employees, for guiding, training and developing their employees, and for providing opportunities, if appropriate, to correct performance or behavior deficiencies. Employees are responsible for understanding supervisors' performance and conduct expectations and for actively participating in performance notice and corrective action efforts.
Supervisors use a variety of performance notice and corrective action approaches as needed to address the specific nature of each problem professionally and constructively. The goal is to identify and resolve problems as early as possible through timely and effective partnership with employees.
To determine appropriate response to unsatisfactory performance or behaviors, consideration should be given to underlying factors. For example, further training and coaching may be appropriate for a lack of training or misunderstanding of expected results. If an employee is not presently capable and does not have the potential to perform the assigned job, other duties consistent with the employee's capabilities might be considered.
The use of Performance Notice and Corrective Action does not change the ultimate at-will status of employees. Additional, these procedures are optional for Executives and other selected key positions due to the sensitive nature of these positions and their impact on University operations. - PROCEDURES
- Performance Notice: Normally an initial verbal discussion occurs between supervisor and employee to inform the employee of a problem at the earliest possible opportunity. The intent of a performance notice is to prevent a problem from becoming more serious or prolonged. Supervisors should document Performance Notice discussions and maintain the documentation in a confidential file, using the official Record of Employee Performance Notice form whenever possible. The Record of Employee Performance Notice form can be found on Outlook, in the Human Resources department in the documents section. The form is saved under the title "CCAP.pdf.doc."
- Corrective Action:This action involves the following steps and results in a written Corrective Action Plan document describing in detail the problem (performance deficiencies, conduct, interpersonal conflicts, etc.), expectations for improvement, time lines, action steps the employee and supervisor will take, resources available, and the ultimate outcome if the problem is not satisfactorily corrected, and disciplinary action (if used). Corrective Action is normally implemented after a Performance Notice has failed to correct the problem. However, Corrective Action may be used without a performance notice. Supervisors are asked to use the Record of Employee Corrective Action form and consult with Human Resources for assistance. The Record of Employee Corrective Action form can be found on Outlook, in the Human Resources department in the documents section. The form is also saved under the title "CCAP.pdf.doc."
Corrective Action Steps:
Identify the problem: The supervisor or employee must first identify the problem(s). Examples might include poor work product, strained working relationships, attendance deficiencies, missed deadlines, etc.
Supervisors assess and clarify scope of problem by talking with employee and others as appropriate: Problems can stem from skill deficiencies, lack of clear communication, behavioral styles, personal crises, or some combination of these and other factors.
Supervisors establish clear performance or conduct expectations with the employee for correcting the problem: Employees need to know what is considered successful resolution of the problem and what support and/or resources may be available to help meet expectations.
Supervisors work with employees to identify appropriate measures to correct the problem: Employees need to accept responsibility for correcting the problem and take appropriate action. Examples might include obtaining training for skill problems, making other transportation or family arrangements for attendance problems, receiving guidance to understand and stop offensive behavior, etc.
Supervisors clarify and communicate what the ultimate outcome will be if the problem is not corrected: Examples include a revised job assignment or dismissal as appropriate.
Supervisors and employees communicate regularly regarding progress. This step usually includes discussions and written documentation which describes progress compared to desired outcomes described in the Corrective Action Plan. Supervisors should notify employees in writing when they are no longer on a Corrective Action Plan.
The supervisor should submit the written Corrective Action Plan to the next supervisory level for review and approval. Review by Human Resources is also recommended. - Discipline: Specific disciplinary actions may be included (but are not required) in a Corrective Action Plan, Normally, discipline is used to draw the employee's attention to the seriousness of a specific incident or occurrence involving performance or conduct. The following describes the most common disciplinary actions, which do not have to be used in any particular order. However, they can be used progressively if the same or similar problem recurs. Discipline is not intended to be used as a stand alone step without a Corrective Action Plan.
Human Resources can provide guidance as to the appropriateness of including discipline in a Corrective Action Plan.
- Verbal Warning: A verbal warning is a conference in which the supervisor informs the employee of the inappropriateness of a specific incident or occurrence involving performance or conduct. The supervisor makes note of this discussion and retains the documentation in a confidential file.
- Written Warning: A written warning may be given for more serious or repetitive incidents of unsatisfactory work performance or conduct, and is given only after the supervisor and the employee have discussed the incident. The warning, addressed to the employee, contains a description of the incident, how the incident or situation fails to meet performance or conduct standards, and the correction expected. The employee is asked to sign a written acknowledgment of this warning. If the employee declines, the supervisor notes the refusal on the form.
- Probation: Probation is a formal written notice that correction must occur, the specific corrections or improvements required, and an established time period during which the employee is evaluated to determine if correction can be sustained. Probations do not normally exceed three (3) months, but may be extended at the supervisor's discretion. Failure to correct deficient performance or conduct within the period could result in dismissal.
- Suspension without pay: Short term suspension without pay may be used as punishment for very serious infractions. Suspensions are typically for a day to a maximum of a work week. Human Resources and the next level supervisor must approve this action.
- Administrative Leave: This is non-disciplinary action may be an appropriate part of a Corrective Action Plan to provide a cooling-off period, a time of reflection for an employee, or during an investigation.
- Dismissal: If a Corrective Action Plan is unsuccessful or the problem or misconduct is so severe that a performance notice and corrective action are impractical, an employee may be dismissed with approval from the next level supervisor, Human Resources, and Corporation Counsel. The area vice president will normally also be consulted. All approvals must be obtained before an employee is informed of the dismissal.
Immediate dismissal, after a review of the facts but without a Performance Notice or Corrective Action, may occur as due to serious misconduct, including but not limited to illegal activities, discrimination, harassment, drug or alcohol abuse, or acts of physical violence.
- RESOLUTION OF CORRECTIVE ACTION PLAN
A. Plan Elements: A Corrective Action Plan is of significant importance that it must be documented using the official Gonzaga University format, be reviewed by Human Resources, have specific steps for improvement, and an established time frame and end date for resolution. Asking the employee to contact Gonzaga University's Employee Assistance Plan for counseling is strongly recommended as a part of every Corrective Action Plan.
B. End of Corrective Action Plan: Since all Corrective Action Plans have a set time frame to improve performance and/or change behavior, some form of documentation is required at the end of that time frame. Employees will be notified when the Corrective Action Plan is no longer in effect. Successful Corrective Action Plans will end on the established date. Other options may be to extend the plan for an additional time period or consider disciplinary alternatives. NOTE: It is possible for a Corrective Action Plan to conclude at the end date with written documentation that no relapse of the performance concern in question will be acceptable in the future. A reoccurrence of the performance concerns may be grounds for further disciplinary action. A second Corrective Action Plan is not required. - APPEAL OF CORRECTIVE ACTION PLAN
The University's Grievance Procedure is available to all employees who wish to appeal a Performance Notice and Corrective Action. Appendix 12 Grievance Procedure
Note: Human Resources may be consulted at any step in this process, and must review all probations, extension of probations, administrative leaves, suspensions and dismissals to insure consistency and fundamental fairness.
