Supervisory
Briefing
Session
May 8, 2012
May 10, 2012
Case Western Reserve University
Department of Human Resources
Documenting Behavior and Performance
Issues Via Positive Corrective Action
Presented by: Employee Relations
 Review Professionalism and Communications and Expectations
Policies
 Review Positive Corrective Action Policy
 Process of Counseling, Written Warning, and Termination
 High Risk Employees
 Questions
Professionalism (Work Environment) (I-7)
& Communication and Expectations (I-2)
Professionalism (Work Environment) (I-7):
Professionalism in communications and behavior is the only acceptable form of
interaction on campus and in related university business settings. Every employee
is expected to conduct himself/herself in a manner that is a positive reflection of the
university. When differences of opinions occur, only constructive, legitimate, and
respectful forms of communication are considered appropriate.
The university does not condone the following behaviors in the workplace:
intimidation (raised voice, yelling, screaming), verbal abuse, including the use of
profanity, humiliation via sarcasm, inappropriate physical contact, threatening-like
behavior, or invading personal space or privacy. Employees who engage in these
types of behaviors may be subject to corrective action via the Positive Corrective
Action policy, up to and including termination. Employees who feel that they have
been subjected to these types of behaviors should report such behaviors to their
supervisor, Employee Relations or the Office of Inclusion, Diversity & Equal
Opportunity immediately. All reports of these types of behaviors will be taken
seriously and handled appropriately.
Communication and Expectations (I-2):
As members of the university community, employees will:
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Treat all members of the community fairly, equitably, and courteously
Value the different perspectives of team members, departments, and support
groups
Practice individual leadership to foster positive relationships among diverse
cultures
Emphasize a service orientation throughout the university community
Utilize the resources and training provided to maximize productivity
Promote high standards of performance in themselves and among their peers
Conduct themselves in a professional and productive manner
Comply with all approved policies and procedures
Recognize the university's proprietary interest in all work, research, materials,
projects and information, where appropriate
Raise issues of ethics, conflict, and concern with the proper personnel, as
necessary
Positive Corrective Action Policy
Purpose
Identify acceptable behavior
Opportunity to improve behavior
Action-oriented – Establish clear expectations and
method(s) to improve
Provide follow up process
Prevent unnecessary termination
Protection from litigation
Positive Corrective Action - Process
 May range from informal counseling with the employee to
formal Positive Corrective Action of:
Verbal Warning
Written Warning
Suspension
Termination
 **Not necessarily a continuous process - can be imposed at any
step.**
 Remember: The ultimate goal is a successful and productive
employee
What to look for and document (cont):
A.
Absenteeism (Most Obvious)
- Frequent unscheduled short-term absences (with or
without medical explanation)
- Frequent use of unscheduled vacation time
B.
“On the Job” Absenteeism
- At work but productivity and efficiency lacking
- Continued absence from job location more than job requires
- Frequent trips to water fountain or restroom
- Long breaks
What to look for and document (cont):
C.
Accidents
- Physical complaints on the job
- Accidents on and off the job
D.
Observed Changes in Work Pattern
- General absentmindedness, forgetfulness
- Alternative periods of high and low productivity
- Coming to work intoxicated
- Missed deadlines
- Inability to perform tasks they were able to do in the past
What to look for and document (cont):
D.
Observed Changes in Work Pattern (Cont.)
- Mistakes due to poor judgment
- Outside complaints about the employee’s work
- Improbable excuses for these poor patterns
- Carelessness
E.
Employee Relationships on The Job
- Abrasiveness with others (managers and co-workers)
-Use of profanity, derogatory language
- Overreaction to real or imagined criticism
- Unrealistic expectations for promotion
What to look for and document (cont):
E.
Employee Relationships on The Job (cont.)
- Borrowing money from co-workers
- Repeated and compulsive criticism of Department or
University
F.
Work Relationships in the University Community
- Inappropriate behaviors or communications with others
outside the employee’s Department
- Poor customer service, lack of cooperation
- Complaints from other Departments or customers
What to look for and document (cont):
G. Changes In Employee’s Behavior or Appearance
(may be an indication of employee at risk)
- Sloppy
- Inappropriate clothing and/or poor hygiene
- Mood
- Withdrawn
- Sad
- Mood swings (high and low)
- Suspiciousness
- Extreme sensitivity
- Frequent irritability
How to Counsel Employees
Step 1:
Take note of on-the-job behavior and/or performance
and any dramatic changes.
Adequate documentation will assist you in evaluating job
performance and confronting an employee when
necessary.
Documentation should be:
Specific
Objective
Factual
Thorough
Timely
How to Counsel Employees (cont):
Step 2:
Meet with the employee and determine whether the problem is
personal or job-related.
Step 3:
Avoid becoming involved in an employee's personal problem. If
the employee needs professional help, put him or her in touch
with Employee Relations or EASE@Work.
How to Counsel Employees (cont):
Step 4:
Focus on behavior and/or performance issues if the trouble is
job-related. In a calm, non-accusatory manner, point out the
changes in the employee's performance or behavior.
Step 5:
Ask what you can do to help.
Step 6:
Work with the employee to develop concrete goals and a
timeline for resolving the issues.
- Do establish the levels of work performance/behavior you
expect. Set the limits that you will tolerate.
- Determine what is acceptable and unacceptable to you.
- Be consistent. Treat all employees equally.
How to Counsel Employees (cont):
Step 7:
If the person shows behavior that poses a direct threat to
themselves or others (including physically being unable to
perform at work safely), call Employee Relations and/or Security
immediately. A condition of employment or mandatory referral
can be made that requires the person to be evaluated by a
mental health professional via EASE or outside EASE and
recommendations made as to whether the individual can safely
and effectively perform in the job. They would be on a
suspension during this period to give them time to provide
documentation from their physician. Once we receive
documentation, they can be placed on a leave.
Important: If you feel threatened, you should suspend immediately
and deactivate the employee’s accesses.
Positive Corrective Action
Performance/Behavior:
Preparing PCA documentation
 Consult with Employee Relations.
 Recap any prior counseling session (if conducted). Provide copies of
internal memos.
 Specify the problem and provide specific examples – Dates, type of
behavior, etc.
Assist in setting up meeting between Employee Relations and employee.
(ER provides a copy of the PCA policy.)
PositiveCorrective
Corrective Action
Positive
Action
Attendance(Cont.)
Performance/Behavior (cont.)
Preparing PCA documentation cont.
 What action will be taken because of the performance/behavior issue.
How does this impact your department and its operations?
Specify acceptable behavior/performance according to university/
department policy.
 What action will be taken in the future if unacceptable performance or
behavior continues.
Positive Corrective Action
Performance/Behavior (cont.)
Positive corrective action meeting agenda
Recap prior counseling and internal memos.
What action will be taken because of the incident.
Specify exact acceptable behavior/performance goals.
Future action if no improvement.
Time frame if applicable.
Take notes during the meeting.
 Provide a copy of the PCA to the employee, copy for your file and original to
Employee Relations.
Provide copy of the Grievance Policy, Procedure, and form to the employee.
Positive Corrective Action Performance/Behavior: cont.
Successful Completion of Corrective Action
 Write
a memo of acknowledgement to the employee.
 Included in memo will be notification that if there is a repeat
occurrence of unacceptable behavior, performance, or conduct,
corrective action will continue at the level that most
appropriately addresses the performance issue.
 Supervisor provides a copy of the acknowledgement memo to
the employee, copy for your file and a copy to ER.
The Termination Meeting
Preparing for the Termination Meeting:
 Consult with ER when repeat of performance/behavior.
Prepare the PCA form, which describes the specifics of the
behavior – date, type of behavior/performance, etc.
 Have the administrative details taken care of before the
termination meeting [.e., Personnel Action Form – (know the
number of unused vacation hours), Employee Termination
Checklist, etc.]
 Normally meet in Employee Relations. Avoid area where coworkers will be around.
The Termination Meeting (cont.)
The Termination Meeting (cont.)
 Be tactful. Get directly to the point.
 Review the performance/behavioral issues. Recommend
termination.
 Politely listen to anything the employee has to state in his/her
behalf, but do not apologize or make statements that suggest
to the employee that you might change your mind.
 Do not forget to discuss the business details such as return
of keys, papers, and all other university property.
(Termination checklist.) Decide how you want to handle the
personal belongings. Security may assist with personal
belongings.
 Do not meet longer than necessary to accomplish your
purpose.
 Submit PAF immediately.
When is an Employee Considered High
Risk?
It is advisable to seek consultation from Employee Relations
immediately when you have knowledge of employees presenting
with the following traits or behaviors, especially more than one:
• Employee with known history of violence who exhibits
unprofessional behavior
• Preoccupation with violence or weapons (or owns weapons)
• Threats with intent to harm self, others, and property
• Reporting to work under the influence of alcohol/substance
• Defiant/ demanding/intimidating behavior
• Frequent disruptive behavior in the workplace
• Mood swings
Considerations Before Issuing Corrective Action
To an Employee For Performance/Behavior
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Have you fully explained the professionalism and communications
policies to the employee?
Are you consistent in your department/management center in applying the
work environment (professionalism) and communications and
expectations policies?
Have you explained your expectations concerning the employee’s
position description?
Have you discussed, in a counseling session, the employee’s behavior
and performance?
Does the employee know that their behavior and or performance is
unacceptable? Have you told the employee specifically what must
improve in order to meet acceptable standards?
Do you consistently give accurate feedback on performance reviews
regarding employee behavior and performance?
QUESTIONS?
Summary
If you have any questions, please contact Employee Relations:
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Carolyn Gerich Washick
Employee Relations Manager
368-2458
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Lori Seabon
Employee Relations Specialist
368-4503
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Mitzi Vazquez-Long
368-8502
Employee Relations Specialist (dual role with ODL)
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Kathy Willson
Employee Relations Specialist
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Deborah Polter
368-2268
Employee Relations Department Assistant
368-0195