CHECKLIST FOR CORRECTIVE ACTION - Duke University
CHECKLIST FOR CORRECTIVE ACTION | |
|Complete prior to decision. |
|Employee’s Name: |Date: |
|Time With Department: |Department: |
| |
|PROBLEM: |
|Employee(s) involved. |
|Details of what happened. |
| |
| |
|How did it happen? |
| |
| |
|Specific facts to be considered (no opinions). |
| |
| |
|Did you give the staff member a chance to tell his/her side of the story? Yes No |
| |
|Explain. |
| |
| |
|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? |
| |
| |
|Have past changes affected current situations? Yes No |
| |
|Explain. |
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|What is the employee’s past record? |
| |
| |
| |
| |
|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 |
| |
|FUTURE ACTION |
|Is any follow-up action necessary? How do you plan to monitor? |
| |
| |
|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? |
| |
|Yes No |
|Have you provided the staff member a letter indicating the final decision that includes appeal rights? |
| |
|Yes No |
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