Policy 702 - Corrective Action

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Section: Employee Relations
Policy Number: 702
Responsible Office: HR/HR Services
Effective Date: 4/1/01
Revised: 6/30/02; 3/16/04; 1/26/12; 8/8/17; 9/12/18; 6/20/24

Scope

All regular full-time and part-time administrators and staff who have surpassed their Orientation Period.

Policy

The purpose of this policy is to provide guidance on addressing employee performance and behavior issues. Although the University aims to follow a policy of progressive discipline, as reflected in this policy, it reserves the right to not utilize progressive discipline when appropriate and end the employment relationship immediately.

If an employee has an issue or concern relating to corrective action that has been applied to them, the employee should first discuss it with their supervisor. If the issue or concern is not resolved, the employee should then seek guidance from HR Services.

Procedures

A.     Informal Actions

Supervisors should use informal remedial actions such as ongoing performance feedback, coaching, and training in their everyday management of employees, to identify performance and/or behavior issues when they begin. HR Services representatives are trained and available to provide supervisors with guidance on how to coach employees.

Coaching involves providing personalized guidance, support, and feedback to help employees develop their skills, overcome challenges, and achieve their full potential. Coaching includes Individualized Support, Goal Setting, Feedback and Assessment, Accountability and Monitoring, Motivation and Empowerment. For assistance with ways to provide coaching as part of performance improvement, please consult with the HR Services Team.

B.     Formal Actions

When more formal measures become necessary, the University’s guidelines for corrective action are described below. Although they are intended to be progressive in nature, the appropriate action will depend on the severity of the behavior or performance issue and may include performance improvement plans, verbal warnings, written warnings, administrative leave, and termination. These actions, excluding termination, may be repeated as appropriate under the circumstances.

Depending on the nature of the performance or behavior issue, steps in the corrective action process as described below may vary; therefore, it is important to contact the HR Services team for support and consultation.

  1. Performance Improvement Plans

A Performance Improvement Plan (PIP) is a flexible tool designed to help employees who are struggling to meet performance expectations. The PIP can be used at different stages of the corrective action process. It is typically initiated when an employee’s performance falls below acceptable levels and is intended to provide a clear path forward for improvement. A PIP should:

  • Identify the performance issues;

  • Set clear expectations;

  • Provide action steps; and

  • Set forth a timeline for improvement, regular monitoring, and feedback.

Overall, a PIP is a structured and supportive approach to helping employees overcome performance challenges and reach their full potential within the University. It emphasizes collaboration, accountability, and ongoing feedback to facilitate meaningful improvement and ensure alignment with department or University goals and expectations.

  1. Verbal Warnings

Verbal warnings are used to address a behavior or performance issue. The timeliness of the verbal warning in addressing the issue is very important. The supervisor should discuss the issue with the employee promptly and outline the steps necessary to resolve it. The employee should be given clear expectations and the consequences of non-compliance. Once a verbal warning has been issued, the supervisor should document it.

  1. Written Warnings

If an employee’s performance or behavior issue continues, or the severity of the issue warrants more serious action, a written warning may be appropriate. HR Services should be consulted and must review all written warnings prior to issuance.

A written warning should describe the issue, the steps necessary to correct it or achieve satisfactory improvement, and a scheduled time for a follow-up meeting. The written warning should also indicate that unless the employee maintains a satisfactory level of improvement, further disciplinary action may follow, including but not limited to termination of employment.

The employee and supervisor should both sign and date the written warning document to acknowledge delivery and receipt of the written warning. If the employee refuses to sign the written warning, the statement, “employee refused to sign” should be documented on the written warning, followed by the date.

The employee, supervisor, and HR Services should each be given a copy of the signed and dated written warning. HR Services will retain the written warning in the employee’s official personnel file. (Refer to policy #122 regarding Personnel Records.)

  1. Administrative Leave

In general, administrative leave with or without pay may be used when the actions of an employee are being investigated. The employee is placed on administrative leave while the investigation is conducted. The outcome of the investigation determines whether the employee is reinstated (either with or without further action) or terminated. 

The determination to place an employee on administrative leave (with or without pay) shall be made by the supervisor and HR Services, and documented in the employee’s official personnel file. (Refer to policy #122 regarding Personnel Records.)

  1. Termination

Persistent or severe performance issues or serious misconduct may result in termination of employment. Reasons for terminating an employee may include, but are not limited to:

  • Misconduct;

  • Unsatisfactory work performance;

  • Absenteeism;

  • Insubordination;

  • Violations of University policy or rules;

  • Dishonesty;

  • Illegal acts;

  • Conflict of interest; or

  • Any act deemed inconsistent with the University’s mission. 

The decision to terminate an employee is serious and requires prior consultation with HR Services. For more information on separation from employment, refer to policy #125.

The University retains the right to terminate employment at will, with or without cause or reason and with or without notice. For the University’s Employment at Will statement, see policy #101.

St. John's University, New York
Human Resources Policy Manual