Policy number: 7.24

Policy section: Human Resources

Revised Date: January 2, 2019

1. Policy Statement

Employees are expected to perform their work in an acceptable manner, effectively, and follow work-related standards of conduct, as well as abide by all applicable federal, state, and local laws, ordinances, and regulations. It is the intent of the University to provide a structured corrective action process to improve and prevent undesirable employee behavior and performance issues and maintain a productive work environment.

2. Purpose

In the event of misconduct or poor performance by an employee, it may be necessary for a supervisor to initiate Corrective Action with the employee in order to maintain an effective and productive work environment. Corrective action is a process of communicating with the employee to attempt to improve unacceptable behavior or performance.

3. Applicability

All employees are expected to meet performance standards and behave appropriately in the workplace. Nothing herein shall alter or otherwise modify an employee’s at-will relationship with the University. The University President has overall authority and responsibility for all employees. Vice Presidents, Deans, Directors, Department Heads, and Supervisors are accountable and responsible for the management of faculty and staff, upholding the standards of conduct, and the application of University policies and procedures.

4. Department Administrative Rules, Procedures, and Guidelines

The Department of Human Resources, under the purview of the Vice President for Business and Finance, has oversight and administrative responsibility for this policy and shall promulgate departmental rules, procedures, and guidelines pursuant to this policy. Detailed information regarding the corrective action process, courses of action and appeal of employment action can be found in Appendix A below.

5. Questions

Questions regarding this policy should be directed to the Department of Human Resources at smuhr@smu.edu.

Appendix A: Corrective Action Process, Courses of Action, and Appeal of Employment Action

Corrective Action

1. When an individual’s conduct or work performance does not meet the Supervisor’s expectations, or as otherwise may be necessary, the Corrective Action process may be initiated.
2. Each case should be assessed to determine the most appropriate level of Corrective Action in conjunction with the Department of Human Resources.
3. In certain cases, it may be necessary to apply a level of Corrective Action leading up to and including termination of employment without having gone through each preceding step.
4. Supervisors must consult the Department of Human Resources prior to implementing any formal step of the Corrective Action process or termination of employment. The appropriate level of Corrective Action determination will be made by the Supervisor, in conjunction with the Department of Human Resources and other University offices and employees, as the case may be.

Appropriate Use of Corrective Action

Supervisors should use Corrective Action for the following reasons:

1. To correct or improve work performance, conduct, or attendance that is inconsistent with established requirements and expectations.
2. To reinforce and motivate the employee to meet the job expectations and to correct the problem.
3. To prevent recurrence of unacceptable performance, conduct, or poor attendance.
4. To protect the interests of the University and individuals.
5. As may otherwise be reasonably necessary.

Communication with Employees Regarding Corrective Action

Communications with employees regarding Corrective Action matters should clearly identify the issues of concern. The action should be consistent and administered with objectivity. Employees should be made aware of any formal Corrective Action that is maintained by the supervisor, or department, or shared with the Department of Human Resources. Employees whose employment has been terminated as a result of the Corrective Action process, or other performance-related issues may not be eligible for rehire with the University.

University Discretion

The Corrective Action Process set forth below is general in nature and does not guarantee any specific course of conduct. The University retains the right to modify or adjust the Corrective Action Process (or skip it altogether) depending on the circumstances.

Corrective Action Process

Step I: Verbal Notification

1. When informal feedback and coaching have failed to produce the desired change in performance, conduct, or attendance, Step I of Corrective Action should be used. To initiate this process, the Supervisor will contact a representative of the Department of Human Resources to review the facts of the situation.
2. If the facts warrant, the Supervisor should meet with the employee to discuss the issue. As applicable, the Supervisor should outline performance expectations, suggest corrections, and establish timetables. The consequences to the employee for not correcting the identified performance problems should be clearly communicated.
3. The discussion at this stage should be firm and fair and should ensure that the employee clearly understands the established standards and expectations with respect to the misconduct or performance that has been identified. The Supervisor should be open to consideration of any circumstances relevant to the matter. The objective of this process is to alert the employee that immediate and sustained behavior and/or performance change is required.
4. A written record of the date and content of such discussion(s) should be maintained in the appropriate files of the department or work unit and a copy provided to the employee.

Step II: Written Notification

1. When Step I has not resulted in the needed improvement or as may otherwise be necessary, Step II should be administered. To initiate this process, the Supervisor will contact a representative of the Department of Human Resources to review the facts of the situation.
2. If the facts warrant, the Supervisor should provide a letter of notification to the employee listing the cause for Step II and the expectations that should be met. The consequences to the employee for not correcting the identified performance problems should be clearly communicated. The letter should be finalized in consultation with the Department of Human Resources before it is shared with the employee. A copy of this letter should be sent to the Department of Human Resources and will be included in the employee’s personnel file.
3. A discussion regarding accountability and Step II should then take place between the Supervisor and the employee. A copy of the letter will be presented to the employee. The Supervisor will then discuss the event that caused the Step II, the job expectations that must be completely and consistently met, and the accountability of the employee. Any questions should be addressed at that time.
4. Step II of Corrective Action means that the employee is not currently in good standing with the University. This means that the employee is not currently eligible for transfer to another department and that, should the employee leave SMU before regaining good standing, he/she will not be eligible to return to employment at SMU. Good standing can be regained by meeting all job performance expectations completely and consistently for a minimum of ninety (90) days and by not being held further accountable in Corrective Action.

Step III: Final Notification

1. If the employee has failed to correct the problem addressed in the previous steps of Corrective Action, if applicable, the employee may be given a final opportunity to correct the problem. To initiate this process, the Supervisor must contact a representative of the Department of Human Resources to review the facts of the situation.
2. If the facts warrant, the Supervisor should provide a letter of notification to the employee listing the cause for Step III and the job expectations that must be met. The consequences to the employee for not correcting the identified performance problems will be termination of employment and should be clearly communicated. The letter should be finalized in consultation with the Department of Human Resources before it is shared with the employee. A copy of this letter should be sent to the Department of Human Resources and will be included in the employee’s personnel file.
3. A discussion regarding accountability and Step III should then take place between a representative from the Department of Human Resources, the Supervisor, and the employee. A copy of the letter will be presented to the employee. The Supervisor will discuss the event that caused the Step III, the job and/or other expectations that must be met completely and consistently, and the accountability of the employee. Any questions should be addressed at that time.
4. Step III of Correction Action means that the employee is not currently in good standing with the University. This means that the employee is not currently eligible for transfer to another department and that, should the employee leave SMU before regaining good standing, he/she is ineligible to return to employment at SMU. Good standing can be regained by meeting all job performance expectations completely and consistently for a minimum of one calendar year and by not being held further accountable in Corrective Action.

Courses of Action

Administrative Leave

Administrative Leave, with or without pay, may be used in conjunction with or separate from the Corrective Action process when the conduct or performance warrants the need for an employee to be temporarily removed from the work environment (for example, in conjunction with an internal investigation). The length of the administrative leave depends on the facts of each case and the time needed to investigate the issue (e.g., type and severity of the misconduct, previous work record of the employee, and number, types, and frequency of previous Corrective Actions). Prior to taking any administrative leave action, the Supervisor must consult with the Department of Human Resources.

Termination of Employment

1. Termination of employment is the most severe form of Corrective Action and should be used when acts of misconduct or unsatisfactory work performance have not been corrected by previous corrective measures or as otherwise may be necessary at the University’s discretion. Immediate termination of employment may occur without the application of the Corrective Action steps, depending upon the circumstances. Prior to terminating employment, the Supervisor must consult with the Department of Human Resources.
2. Termination of employment should, when possible, be communicated in person to the employee, but in all cases a formal notice should be provided to the employee. The notice of termination should be finalized in consultation with the Department of Human Resources before it is provided to the employee. See University Policy 7.29, Termination of Employment.

1. An employee who is terminated from employment will be paid for all hours worked through the date of termination and for all accrued vacation leave consistent with University Policy 7.14, Staff Vacation. Payment of accrued vacation may be denied under certain circumstances, such as theft, fraud, or other serious offenses against the University.
2. Final payments will be determined by the Department of Human Resources and the Payroll Office for hours worked and other applicable compensation, if any. The employee will be paid on the regular pay date or within six (6) calendar days of date of termination, whichever occurs first in accordance with state law. Any appropriate deductions or payables due to SMU will be deducted in the final paycheck.

Appeal of Employment Action

Employees who are held accountable under this policy should be advised of the University's appeal procedure. Employees may appeal an employment action directly affecting him/her by following the procedure outlined in University Policy 7.25, Grievances and Appeals of University Employment Actions. Employees who are terminated from the University (for whatever reason) are not eligible to file a grievance under University Policy 7.25.

Revised: January 2, 2019

Adopted: July 1, 2014