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Human Resources

Policies

Corrective Counseling

DATE ISSUED
08/01/94

DATE REVISED
1/03/2007

POLICY

Saint Louis University strives to maintain its reputation as an excellent employer and hopes all employees will interact with their co-workers in the spirit of consideration, respect, and cooperation. We operate from an assumption that our employees will make significant contributions to the organization. Each employee is unique with worth, rights, needs, values, and beliefs. The University endeavors to treat all employees with equity and respect. We believe that our employees will rarely lapse from excellent work or adherence to established rules and regulations. We also believe that our employees will quickly correct any lapse in their work or violations of policies, if these problems are brought to their attention in a professional, cooperative manner that assumes they want to improve. Supervisors will share and discuss this policy with all employees within the first few weeks of its implementation or after their hire.

While all areas of the University are covered by the Staff Corrective Counseling Policy, each department also may develop individual departmental procedures in accord with approved University policies governing matters unique to that area's operation such as but not limited to, tardiness, dress code, and performance standards. Violations of these policies may also result in corrective action.

While the University generally follows a program of progressive counseling, it reserves the right to take more serious corrective action at any time an infraction occurs. The extent of counseling will be based on the gravity of the offense, the employee’s length of service, and the employee’s work record. The following guidelines have been formulated to provide for and promote consistent and equitable application of this policy. The corrective counseling policy emphasizes corrective action and has three primary objectives:

1. Maintaining high standards of service and productivity.

2. Improving morale by showing employees that satisfactory performance works to their advantage.

3. Facilitating constructive communication between employees and supervisors.

SCOPE

This policy applies to staff employees of Saint Louis University except those who are members of a collective bargaining unit. Directors and other Senior Administrators are not subject to this policy because by virtue of their level and position in the organization, higher expectations than those defined in the policy apply to those positions. However, it is expected that performance problems and conduct issues will be discussed with directors and administrators with appropriate actions taken as indicated.

PROCEDURES

Supervisors and employees are encouraged to discuss performance concerns with their Human Resources Office and/ or the Employee Assistance Program (EAP).

  1. Informal Counseling: The first step before formal corrective action would normally be informal counseling. A written record of the counseling is necessary to register what took place. The counseling should take place in a private setting, and be based on specific facts. It should express confidence in the employee’s ability to improve and indicate the supervisor’s willingness to assist. Informal counseling is not a form of corrective action; however, it can be referenced at a later date if corrective action is taken. This discussion can take place during periodic performance evaluations or as a stand-alone counseling. Should twelve months pass following informal counseling and no additional offense occurs, the informal counseling will normally not be considered when determining future corrective action.
  2. Steps of Formal Corrective Counseling: Supervisors will generally initiate each step of corrective counseling within 10 days of learning of an employee’s problematic behavior, or as soon thereafter as possible.

a. Step 1: First Corrective Warning. The first step differs from informal counseling in that it is formal corrective action. It is usually the first step in the formal corrective counseling procedure and addresses Level 1 offenses. Should twelve consecutive months pass without further corrective action, previous corrective actions will normally not be considered when determining future corrective action.

b. Step 2: Critical Warning. Employees are strongly encouraged to meet with an EAP counselor, or a Human Resources representative. The critical warning differs from the first corrective warning in that it is employed for repeated violations of Level 1 offenses or for addressing Level 2 offenses. It may be the first corrective action taken for Level 2 offenses. Should twelve consecutive months pass without further corrective action, previous corrective actions will normally not be considered when determining future corrective action.

c. Step 3: Final Warning. The final warning differs from the critical warning in that it is issued to employees who have not corrected the behavior outlined in a critical warning or have exhibited more serious problematic behaviors. It may be the first corrective action taken for Level 3 offenses. It may result in a leave of one (1) or more days as determined by the supervisor in consultation with the Human Resources office. During this leave, the employee will have the option of using his/her vacation hours. The employee will be asked to take this time off to consider whether or not he/she is able to meet the requirements of University and department policies and/or standards of conduct. Should twelve (12) consecutive months pass without further corrective action, previous corrective actions will normally not be considered when determining future corrective action.

d. Step 4: Discharge. Employees who do not correct their behavior or who commit other serious offenses after a final warning will be discharged. First time Level 3 offenses may be the basis for discharge. Discharges must be reviewed and approved by Human Resources prior to the discharge.

All employees are eligible to take advantage of the EAP services for up to 90 days after separation. Discharged employees are encouraged to use EAP services.

  1. Suspension Subject to Possible Corrective Action. Any employee of Saint Louis University may be suspended, if their conduct or performance warrants the action. A suspension may be imposed on an interim basis, in response to a serious offense, where it is deemed inappropriate for the employee to remain at work during the investigation of a potential misconduct. A suspension subject to possible corrective action should be resolved as promptly as possible.

    In those instances where the action leading to suspension is found not to have been caused by, or the fault of the employee, the employee shall be reinstated without loss of pay or benefits, and no record of the suspension will appear in the employee’s personnel file. In situations where evidence of wrongdoing is found, but a final warning is issued in lieu of separation, the employee may not be eligible for pay. If the decision is made to sustain the suspension and terminate, the original date of the suspension becomes the discharge date.

  2. Record in the Employee’s Personnel File . A copy of all formal corrective counseling will be filed in the employee’s active personnel file and does remain as a permanent part of the record. As stated above, should twelve consecutive months pass without further corrective action, previous corrective actions will normally not be considered when determining future corrective action.

COACHING AND IMPROVING PERFORMANCE

Periodic performance reviews, held with the expectation of providing feedback to employees, regarding ongoing or continuing issues of poor or substandard performance can be addressed through the corrective counseling process. The receipt of a "Does not meet current expectations" on the employee's performance communication (PCP) will result in the employee being placed on formal corrective counseling. Supervisors are advised to contact human resources to establish a performance improvement plan (PIP) for the employee and a plan for ongoing review of the employee's performance throughout the year. If performance does not improve, the employee may advance through the steps of corrective counseling up to and including termination prior to the issuance of the next performance communication. In addition to performance issues, corrective counseling is used to address other problematic behaviors. As a general rule the policy divides problematic behavior into three (3) major categories while providing for progressive counseling. (See full text of policy on the Web site.) The University reserves the right to initiate corrective counseling, including dismissal, based on the circumstances and issues being addressed in any particular case.

Problem behaviors are divided into three major categories. The following levels of corrective counseling will be initiated dependent upon the facts and circumstances of the incident:

Level 1 : Calls for informal counseling and progressive, formal corrective counseling consisting of a first corrective warning, a critical warning, a final warning, and discharge. The following breaches of good conduct and rules are normally considered to be Level 1 offenses:

a. Excessive absenteeism, tardiness, and/or failure to clock in/out.

b. Failures to report for or leaving work without reasonable advance notice or permission.

c. Failure to perform duties or tasks in accord with recognized performance standards, resulting in unsatisfactory job performance.

d. Unauthorized use of University telephones.

e. Loafing or excessive idle time during working hours.

f. Tampering with official University notices on bulletin boards.

g. Inadvertent minor damages to University equipment or loss of materials resulting from poor judgment or lack of responsibility.

h. Inappropriate behavior (horseplay) which could result in injury or property damage.

i. Refusal to work previously scheduled overtime provided that the need for overtime work is based on needs of the Department, and is within overtime procedures of the Department.

j. Any other similar offense which reason, morals, or common sense indicates to be wrong and not in the best interest of the University or its employees.

k. The receipt of a does not meet expectations on the employee's performance communication plan will result in at least a first corrective warning under corrective counseling. This requires consultation with human resources.

Level 2 : Begins with a critical warning for the first offense. The second infraction may result in a final warning, or discharge at the discretion of the University, if the offense could result in significant harm to the University, staff, students, patients, or visitors. The following breaches of good conduct and rules are considered to be Level 2 offenses:

a. Conduct which results in destruction or damage of University property.

b. Smoking or use of tobacco products in an area that creates a safety hazard, or continued smoking in an unauthorized area after being asked to stop.

c. Using profane or obscene language that is offensive or demeaning to a fellow employee, student, patient, visitor, or supervisor.

d. Being off the job without permission of the Supervisor (including sleeping on the job).

e. Actions or failure to perform duties or tasks in accordance with recognized job standards that could jeopardize the health and safety of employees, students, patients, or visitors whether intentional or unintentional, through neglect of duty, poor judgment, or disregard for health or safety rules.

f. Violation of the University’s no solicitation/distribution policy.

g. Any other similar offense which reason, morals, or common sense indicates to be wrong, and not in the best interest of the University, students, visitors, patients, or employees.

h. The receipt of a does not meet expectations on the employee's performance communication plan may result in a critical warning under corrective counseling. This requires consultation with human resources.

Level 3: Results in a final warning or discharge, depending upon the facts and circumstances of the case. These offenses consist of the following:

a. Intentional or reckless disregard or failure to perform the proper order of a supervisor (insubordination).

b. Forging, altering, or deliberately falsifying official Saint Louis University documents, an employment application, authorizations, records, or reports, including time cards.

c. Indecent or disorderly conduct, inducing immoral behavior, or creating a disturbance.

d. Participation in activities which violate the University’s Conflict of Interest policies (see policies 1.5.1; 1.5.2 and 1.5.3); or failure to safeguard University property or money by not following appropriate control procedures.

e. Violation of the University’s Drug and Alcohol Abuse Prevention policy.

f. Violation of the University’s Substance Abuse Testing policy.

g. Possession of a weapon on University premises, examples of which are guns, switchblades, or knives.

h. The unlawful manufacture, distribution, dispensation, sale, possession or use of illicit drugs on University premises or as a part of any University activity.

i. Being under the influence of alcohol while on duty, illegally possessing alcohol, or consuming alcohol on University premises or at University activities which could result in jeopardizing the physical well-being of any person on University property.

j. Seriously jeopardizing the health or safety of employees, students, patients, or visitors whether intentional or unintentional, through neglect of duty, poor judgment, or disregard for health or safety rules.

k. Using another employee’s time card, clocking in for another employee, or asking another employee to clock in for him/her.

l. Threatening an employee, student, patient, or visitor.

m. Fighting with another employee, student, patient, or visitor.

n. Horseplay which results in any injury to an employee, visitor, patient, student, or supervisor.

o. Theft, embezzlement, or dishonesty.

p. Violation of student, patient, employee, or University confidentiality.

q. Unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature.

r. Failure to cooperate with inspections and/or investigation by University officials or Public Safety Department representatives.

s. Any other similar offense which reason, morals, or common sense indicates to be seriously harmful to the University, students, visitors, patients, or employees.

t. The receipt of a does not meet expectations on the employee's performance communication plan may result in a final warning under corrective counseling. This requires consultation with human resources.


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