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Corrective Action and Discipline

    Title:

    Corrective Action and Discipline

    Publication date:

    6/18/2014

    Effective date:

    6/18/2014

    BRIEF

    Policy Summary

    This policy describes what corrective action Berkeley Lab managers and supervisors must take when an employee fails to meet employment-related standards of conduct or performance.

    Who Should Read This Policy

    • This policy applies to all employee classifications: Career, Term, Postdoctoral Fellow, Limited, Visiting Researcher, Faculty, Rehired Retiree, Graduate Student Research Assistant (GSRA), and Student Assistant.
    • This policy applies to non-represented employees. Represented employees should consult their collective bargaining agreement (CBA).

    To Read the Full Policy, Go To:

    The POLICY tab on this wiki page

    Contact Information

    For information regarding this policy, contact your Division's HR Center. Feedback on HR policies or procedures is welcomed. Send comments to hrpolicies@lbl.gov.

    Title:

    Corrective Action and Discipline

    Publication date:

    6/18/2014

    Effective date:

    6/18/2014

    POLICY

    A. Purpose

    This policy describes what corrective action Lawrence Berkeley National Laboratory (Berkeley Lab) managers and supervisors must take when an employee fails to meet employment-related standards of conduct or performance.

    B. Persons Affected

    • This policy applies to all employee classifications: Career, Term, Postdoctoral Fellow, Limited, Visiting Researcher, Faculty, Rehired Retiree, Graduate Student Research Assistant (GSRA), and Student Assistant
    • This policy applies to non-represented employees. Represented employees should consult their collective bargaining agreement (CBA).

    C. Exceptions

    Request for exceptions that exceed what is allowed under current policy or that are not expressly addressed by current policy are considered exceptions to policy. A request for an exception to policy requires, at minimum, approval by the Chief Human Resources and Diversity Officer (CHRO). Depending on the circumstances, some exceptions may require University of California Office of the President (UCOP) and/or Department of Energy (DOE) approval.

    D. Policy Statement

    1. Policy
      1. A corrective action may be initiated when an employee fails to meet employment-related standards of conduct or performance including, but not limited to, inattention to duty; failure to follow directions; unsatisfactory performance; insubordination; absenteeism; tardiness; violation of law or Laboratory/University regulations; dishonesty, theft, or misappropriation of public funds or property; timecard falsification; fighting on the job; acts endangering others; gambling; or possession of firearms or explosives. Corrective action can take the form of a written warning, salary decrease, demotion, suspension without pay, or dismissal.
      2. Oral warnings and counseling memos are not considered corrective actions. In addition, they are not subject to the provisions of the Employee Complaint Resolution policy.
      3. When corrective action is contemplated for a member of the professional research staff, RPM 2.07, Professional Research Staff, should be reviewed to determine if additional procedures are required.
    2. Documentation. Documentation of corrective action should be entered in the employee's personnel file, and copies of such records should be sent to Employee Labor Relations (ELR). At the written request of the employee, records of a written warning will be removed from the employee's personnel file if, after two consecutive years, there has been no further conduct or performance of the same or a similar nature.
    3. Authority to Take Corrective Action
      1. Responsible Managers. Responsible managers are operations department heads, deputy division directors, and division directors and above (see RPM 2.01(F)(3), Laboratory Management). Responsible managers, after consultation with ELR, may take or authorize corrective action, including dismissal, in accordance with this policy. Supervisors are authorized to issue written warnings. Authorization to take or authorize all other corrective action or dismissal lies exclusively with the responsible manager in consultation with ELR.
      2. Supervisor Authority
        1. Written warnings may be issued by a supervisor after consultation with ELR.
        2. A supervisor may immediately place an employee on investigatory leave only in those cases where it is desirable and appropriate to have the employee leave the worksite immediately. Appropriate circumstances include, but are not limited to, the following: the employee’s continued presence on the job may result in the disruption of operations, may impair the investigation, may result in attempted destruction or sabotage, or may be considered a threat to others or him/herself; or the employee appears visibly impaired as to not being able to continue to perform satisfactorily. (See Section D.4, Investigatory Leave, of this policy.)
        3. A supervisor may not take any other corrective action without prior approval of the responsible manager and consultation with ELR.
    4. Investigatory Leave
      1. An employee may be placed on investigatory leave with pay, usually for a period not to exceed 15 calendar days, while a review or investigation is conducted based on alleged actions including, but not limited to, the employee’s continued presence on the job may result in disruption of operations, may impair the investigation, may result in attempted destruction or sabotage, may be considered a threat to others or his/her self, or the employee appears visibly impaired as to not be able to continue to perform satisfactorily.
      2. Except as stated in Section D.3.b, Supervisor Authority, of this policy, a decision to place an employee on investigatory leave may only be made by a responsible manager and after consultation with ELR. The leave must be confirmed in writing to the employee, normally no later than five calendar days after the effective date of the leave. The notice must include the reasons for the leave and its expected duration.
      3. The decision to place an employee on investigatory leave is not a corrective action. In addition, it is not subject to the provisions of the Employee Complaint Resolution policy. 
    5. Written Warnings. A written warning is the first step of corrective action. At least one written warning should normally precede any further corrective action, except when corrective action is the result of performance or conduct that an employee knows or reasonably should have known was unsatisfactory. Written warnings must describe: (a) the nature of the offense or deficiency; (b) the method or methods of correction; (c) the probable action to be taken if the offense is repeated or the deficiency persists; and (d) the employee’s right to appeal the written warning under the Employee Complaint Resolution policy.
    6. Corrective Action Other Than Written Warnings and Dismissals
      1. Written Notice of Intent to Take Corrective Action Other Than Written Warnings and Dismissals. For corrective action other than written warnings and dismissals, the responsible manager must provide the employee with written notice of intent to take such action before the effective date. This notice must (i) state the intended corrective action, its reason, and the proposed effective date; (ii) include a copy of the charges and materials on which the corrective action is based; and (iii) state that the employee has the right to respond either orally or in writing within 10 calendar days from the date of issuance; and (d) specify to whom the response must be made.
      2. Written Notice of Corrective Action Other Than Written Warnings and Dismissals. After the employee's response or 10 calendar days from the date of issuance (whichever comes first), the employee must be notified in writing of the responsible manager's decision. If the responsible manager determines that corrective action is not appropriate, the responsible manager must inform the employee of this fact and state what other action, if any, will be taken. If the responsible manager determines that the corrective action, or a modification thereof, is appropriate, the employee will be notified of the action, the effective date, and advised of his/her right to appeal the action.
    7. Dismissal of Nonprobationary Career and Term Employees. Nonprobationary Career and Term employees may be dismissed for reasons set forth in Section D.1.a of this policy. See the Release of Non-Career Employees policy for information regarding the dismissal of non-Career employees. Dismissal is normally preceded by some form of corrective action unless the unsatisfactory performance or misconduct is so serious as to warrant immediate dismissal.
    8. Written Notice of Intent to Dismiss. A written notice of the intent to dismiss must be given to the employee by a responsible manager, and must (a) state the reason for the intended dismissal; (b) include a copy of the charges and materials on which the intent to dismiss is based; (c) state that the employee has the right to respond either orally or in writing within 10 calendar days from date of issuance; (d) specify to whom the response must be made; and (e) specify the proposed effective date of the dismissal, which must be at least 10 calendar days from the date of the notice of intent to dismiss.
    9. Written Notice of Dismissal. After the employee's response or 10 calendar days from date of issuance (whichever comes first), the employee must be notified in writing by the responsible manager of his or her decision. If the responsible manager determines that dismissal is not appropriate, he or she must inform the employee of this fact and state what other action, if any, will be taken. If the responsible manager determines that dismissal is appropriate, the employee will be so notified. The notice must (a) specify the effective date of dismissal, (b) state the reason for dismissal, and (c) state the employee’s right to appeal. If an employee was absent from work without approval during the 10 calendar days for response to the notice of intent or any subsequent days up to and including the day of dismissal, the days absent are without pay.

    E. Roles and Responsibilities

    Role

    Responsibility

    Chief Human Resources and Diversity Officer (CHRO)

    Has the functional responsibility for this policy

    Employees

    Have the responsibility to adhere to the provisions of this policy

    Employee and Labor Relations (ELR)

    Provides advice to HR Centers and supervisors on corrective action and discipline matters

    Managers and supervisors

    Have the responsibility to adhere to the provisions of this policy

    Human Resource Center (HRC)

    Have the responsibility to advise management and employees on how to comply with this policy

    F. Definitions/Acronyms

    Term

    Definition

    CHRO

    Chief Human Resources and Diversity Officer

    ELR

    Employee and Labor Relations

    HR

    Human Resources

    HRC

    Human Resources Center

    G. Recordkeeping Requirements

    None

    H. Implementing Documents

    Audience

    Document Number

    Document Title

    Type

    HR Staff

    02.11.003.001-01

    Disciplinary Warning Letter

    Form 

    HR Staff

    02.11.003.002-01

    Disciplinary Warning – Unacceptable Performance

    Form 

    HR Staff

    02.11.003.003-01

    Dismissal Memo

    Form 

    HR Staff

    02.11.003.004-01

    Intent to Dismiss Memo

    Form 

    HR Staff

    02.11.003.005-01

    Intent to Suspend Memo

    Form 

    HR Staff

    02.11.003.006-01

    Investigatory Leave Memo

    Form 

    HR Staff

    02.11.003.007-01

    Notice of Suspension

    Form 

    HR Staff

    02.11.003.008-01

    Performance Improvement Plan (PIP)

    Form 

    HR Staff

    02.11.003.009-01

    PIP 30 – 60 Day Report

    Form 

    HR Staff

    02.11.003.010-01

    PIP Completion

    Form 

    HR Staff

    02.11.003.011-01

    Preparation Memo

    Form 

    HR Staff

    02.11.003.012--01

    Release during Probationary Period

    Form 

    I. Contact Information

    For information regarding this policy, contact your Division's HR Center. Feedback on HR policies or procedures is welcomed. Send comments to hrpolicies@lbl.gov.

    J. Revision History

    Date

    Revision

    By whom

    Revision Description

    Section(s) affected

    Change Type

    1/2/2012

    0

    M. Bello

    Rewrite for wiki (brief)

    All

    Minor

    6/18/2014

    1

    L. Westphal

    Rewrite for wiki (policy)

    All

    Major

    DOCUMENT INFORMATION

    Title:

    Corrective Action and Discipline

    Document number

    02.11.002.000

    Revision number

    1

    Publication date:

    6/18/2014

    Effective date:

    6/18/2014

    Next review date:

    6/18/2017

    Policy Area:

    Problem Resolution

    RPM Section (home)

    Human Resources

    RPM Section (cross-reference)

    none

    Functional Division

    Human Resources

    Prior reference information (optional)

    RPM Chapter 2.05(C)

    Source Requirements Documents

    Implementing Documents

    Audience

    Document Number

    Document Title

    Type

    HR Staff

    02.11.003.001-01

    Disciplinary Warning Letter

    Form 

    HR Staff

    02.11.003.002-01

    Disciplinary Warning – Unacceptable Performance

    Form 

    HR Staff

    02.11.003.003-01

    Dismissal Memo

    Form 

    HR Staff

    02.11.003.004-01

    Intent to Dismiss Memo

    Form 

    HR Staff

    02.11.003.005-01

    Intent to Suspend Memo

    Form 

    HR Staff

    02.11.003.006-01

    Investigatory Leave Memo

    Form 

    HR Staff

    02.11.003.007-01

    Notice of Suspension

    Form 

    HR Staff

    02.11.003.011-01

    Preparation Memo

    Form 

    HR Staff

    02.11.003.012--01

    Release during Probationary Period

    Form 

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