CHECKLIST FOR CORRECTIVE ACTION - Duke University



CHECKLIST FOR CORRECTIVE ACTION | |

|Complete prior to decision. |

|Employee’s Name:       |Date:       |

|Time With Department:       |Department:       |

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|PROBLEM: |

|Employee(s) involved.       |

|Details of what happened.       |

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|How did it happen?       |

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|Specific facts to be considered (no opinions).       |

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|Did you give the staff member a chance to tell his/her side of the story? Yes No |

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|Explain.       |

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|Was your meeting with the employee in private? Yes No |

|Was the employee aware of the rule, procedure, or policy being breached? Yes No |

|Was the standard/rule published in writing and disseminated to all employees? Yes No |

|Do you have written confirmation of receipt of that communication? Yes No |

|Explain how the rule has been enforced in the past.       |

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|What changes in behavior need to be made?       |

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|Have past changes affected current situations?       Yes No |

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|Explain. |

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|What is the employee’s past record?       |

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|Can you back up this record with facts? Yes No |

|Did the employee have any previous warning? Yes No |

|Has this violation been previously overlooked? Yes No |

|Have you determined the level of seriousness or impact of the behavior or act? |

|Yes No |

|According to policy, what is appropriate and justifiable corrective action? |

|Written warning |

|Placed on probation |

|Discharge |

|Have you considered information provided that may mitigate or lessen the corrective action recommended? |

|Yes No |

|If choosing termination, have you considered: restructuring the job; moving the employee’s work location; a demotion; a transfer; new |

|supervision; leave without pay; referral to an employee assistance program; voluntary resignation; or other alternatives? |

|Yes No |

|Did you check with any/all of the following before taking corrective action? |

|Your Leadership or Entity HR |

|Staff and Labor Relations (684-5557 or 684-2080) |

|Other Executives       |

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|FUTURE ACTION |

|Is any follow-up action necessary? How do you plan to monitor?       |

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|Have you recorded this incident and put a copy in the employee’s personnel file? Yes No |

|Have you allowed the staff member to respond to the decision? Yes No |

|Have you provided the staff member a copy of documents used to make the final decision? |

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|Yes No |

|Have you provided the staff member a letter indicating the final decision that includes appeal rights? |

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|Yes No |

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