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 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, the Appointments, Scientist & Engineer policy 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 the Appointments, Upper Laboratory Management policy). 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 Appointments, Term policy for information regarding the dismissal of Term employees and the Terms & Conditions of Employment policy for the dismissal of probationary employees.
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

F. Definitions/Acronyms

G. Recordkeeping Requirements

None

H. Implementing Documents

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 [email protected].

J. Revision History

DOCUMENT INFORMATION

Source Requirements Documents

• Department of Energy (DOE) DE-AC02-05CH11231, Sec. J, App. A, Advanced Understandings on Human Resources
• University of California (UC) PPSM 62, March 1, 2002, Corrective Action - Professional and Support Staff

Implementing Documents