PROCESSING CORRECTIVE/DISCIPLINARY ACTION

PURPOSE:

To establish a uniform means for the implementation of corrective/ disciplinary action.

The establishment of a uniform means for corrective/disciplinary action emanates from NJSA 4A:Subchapter 1 through 6, and Corrective Disciplinary Action Manual.

Corrective/disciplinary action applies to all employees within the Department of Military and Veterans' Affairs.

PROCEDURE:

 

I. CORRECTIVE STEPS:

A. The purpose of corrective action is to alert an employee that they are responsible for work related incongruities which require notification.

B. Corrective action may occur in three steps.

 

1. Oral Counselling - a meeting in private where only the appropriate supervisor and the employee are present.   The supervisor will identify the incident which subjects the employee to disciplinary action and the minimum and maximum penalties that could be imposed or recommended. The supervisor in conducting this meeting has determined beforehand that the corrective step of counseling will be used rather than implementing or recommending disciplinary action. The employee is to be advised of the seriousness of the infraction, its adverse effect and the importance of the offense not recurring. 2. Oral Warning - a meeting in private where only the appropriate supervisor and employee are present. The supervisor will identify the incident which subjects the employee to disciplinary action and the minimum and maximum penalties that could be imposed or recommended. The supervisor, in conducting this meeting, has determined beforehand that the corrective step of oral warning will be used rather than implementing or recommending disciplinary action. The employee is to be advised of the seriousness of the infraction, its adverse effects, the importance of the offense not recurring, and is warned that if such an offense is repeated he/she is subject to disciplinary action. 3. Written Warning - a written document which sets forth the incident which subjects the employee to disciplinary action and warns the employee that if such an offense is repeated he/she is subject to disciplinary action. As provided for by the Corrective Disciplinary Action Manual, a supervisor may, where consistent with the Table of Offenses and Penalties, take a corrective step as defined above rather than implementing or recommending disciplinary action. All corrective steps are to be taken on a timely basis.

II. RECORD OF INCIDENT AND CORRECTIVE STEP

A. If an incident occurs for which an employee could be disciplined and the appropriate supervisor decides, with proper and just reason, that disciplinary action will not be implemented or recommended, and that a corrective step as described in Section I will not be initiated, then there shall be no record of the incident unless such is required for an explanation on time sheets or other official records.

Although a supervisor may decide not to take disciplinary action or corrective steps, the supervisor may be required to justify and demonstrate why such action was not taken.

B. Whenever the appropriate supervisor takes the corrective steps of counselling, oral warning or written warning, the following procedures apply:

 

1. The Record of Counselling or Oral Warning Form, a copy of which is attached, will be used as the method of recording counselling or oral warnings. These forms will not be distributed to any person other than the employee involved. 2. As indicated on the form, a copy will be offered to the employee and a copy will be retained by the supervisor. The appropriate notation shall be made on the bottom of the form as indicated. 3. Copies of the record of counselling, oral warning and written warning will not be forwarded to the Personnel Office for inclusion in the employees' official facility personnel folder unless it is used in determining the degree of discipline for a subsequent offense of the same nature.

C. FORMS UTILIZED

1. Record of Counselling or Oral Warning

2. Record of Written Warning

III. DISCIPLINARY ACTION

A. Discipline means an official reprimand, suspension without pay, demotion, fine, or dismissal from employment. Disciplinary action is based upon incongruities in attendance, performance, personnel conduct, safety and security precautions or other general causes for disciplinary action.

B. Disciplinary Action may take three (3) steps.

 

1. Minor Disciplinary Action - an official reprimand or suspension/fine, not to exceed five (5) days. 2. Major Disciplinary Action - a non-pay suspension of six (6) or more days not to exceed six (6) months, fine, or demotion.   3. Dismissal - termination from employment.

C. All Corrective/Disciplinary Action will be implemented by supervisory personnel. Supervisors who have been authorized to take corrective action, implement minor disciplinary action, or recommend major disciplinary action - dismissal/termination, will do so in compliance with Disciplinary Directive 3 and 4.

DISCIPLINARY DIRECTIVE 3

 

1. As the supervisor of employees, you have been authorized as the agent of the Appointing Authority to take corrective steps as described in Disciplinary Directive 3, to take minor disciplinary action after you request and have the approval for such and to recommend major disciplinary action as set forth herein. 2. When an incident occurs which subjects and employee to corrective steps and/or disciplinary action and the offense is listed in the Corrective Disciplinary Action Manual, Supplement 1, Table of Offenses and Penalties and Their Applications, (Table of Offenses and Penalties), and the offense and the number of the infraction is contained in the attached list, you are authorized and required to take the appropriate corrective step of minor disciplinary action in accordance with the Corrective Disciplinary Action Manual, the Table of Offenses and Penalties, Disciplinary Directive 3, and the instructions set forth herein. 3. You also have the authority, for proper and just reasons, not to take a corrective step if the Table of Offenses and Penalties indicates for the offense and the number of infraction in the range of penalties only corrective steps. If the range of penalties for the offense and the number of infraction includes corrective steps and minor disciplinary action, you do not have the authority to waive action and you must take the appropriate corrective step or minor disciplinary action. If the range of penalties for the offense and the number of the offense includes major disciplinary action, then, paragraph 5 must be followed. 4. If you decide to exercise your authority and do not take a corrective step as indicated in paragraph 3, no official record of the incident will be kept unless such is required as an explanation on time records or other official records. You must; however, keep a personal record of the incident and the reason(s) why a corrective step was not taken because you may be asked to justify why such was not done. If you cannot demonstrate a proper reason for not taking such action, you are subject to disciplinary action yourself for failure to respond appropriately to the matter. 5. If an incident occurs which subjects an employee to a corrective step and/or disciplinary action and the offense is listed in the Table of Offenses and Penalties, but not in the list mentioned in paragraph 2 above, you do not have the authority to make an independent judgement and you must immediately report, with recommendations, the matter. Any subsequent actions on your part in the matter will be in accordance with the decision of that individual. 6. In officially reprimanding or suspending an employee, the Notice of Official Reprimand and Notice of Suspension Form and Duty Without Pay Form shall be used. Before these completed forms are given or shown to the employee involved, they will have been reviewed with the Employee Relations Office at the department level and have his/ her approval. 7. Any recommendation that you make in accordance with paragraph 5 above must be in accordance with the Corrective Disciplinary Action Manual and the Table of Offenses and Penalties. 8. If an employee subsequently commits an incident of the same nature and you had exercised your authority not to take a corrective step for the previous like offense, you cannot exercise the authority a second time without prior approval. If approval is not given, then you must take the appropriate corrective step for the current offense. 9. When a corrective step or steps have been taken for an offense and a subsequent like offense occurs, the previous corrective step or steps are used to determine the number of the infraction of the current offense. Accordingly, any corrective step or minor disciplinary action taken or disciplinary action recommended for the current offense must be that of the applicable infraction. Any recommendations required by paragraph 5 must include a specific reference to a corrective step or minor disciplinary action taken for prior like offenses and the recommendation must reflect consideration of such previous actions. Copies of the documentation of the implemented corrective step and/or minor disciplinary action will accompany the recommendation. 10. If an offense is not listed in the Table of Offenses and Penalties before you take any action, you must consult with the appropriate party and be guided by the directions provided by that individual. 11. Before any disciplinary action is taken against a provision or unclassified employee, the facility must first discuss the matter with the Employee Relations Office at the Department Level.

DISCIPLINARY DIRECTIVE 4

 

1. An individual with supervisory authority has been authorized as the agent of the Appointing Authority to make corrective steps as described in Disciplinary Directive 3, to take minor disciplinary action and to recommend major disciplinary action by the issuance of Preliminary Notices of Disciplinary Action (Preliminary Notice). 2. When an incident occurs which subjects an employee to corrective steps and/or disciplinary action and the offense is listed in the Corrective Disciplinary Action Manual, Supplement 1, Table of Offenses and Penalties and Their Applications, you are authorized and required to take the appropriate corrective step of minor disciplinary action or to issue a Preliminary Notice in accordance with the Corrective Disciplinary Action Manual, the Table, Disciplinary Directive 3, and the instructions set forth herein. 3. You also have the authority, for proper and just reasons, not to take a corrective step if the Table indicates for the offense and the number of infraction in the range of penalties only corrective steps. If the range of penalties for the offense and the number of infractions includes corrective steps and minor disciplinary action, you do not have the authority to waive action and you must take the appropriate corrective step or minor disciplinary action. 4. If you decided to exercise your authority and do not take a corrective step as indicated in paragraph 3, no official record of the incident will be kept unless such is required as an explanation on time records or other official records. You may, however, keep a personal record of the incident and the reason(s) why a corrective step was not taken because you may be asked to justify why such was not done. If you cannot demonstrate a proper reason for not taking such action, you are subject to disciplinary action yourself for failure to respond appropriately to the matter. 5. If an incident occurs which subjects an employee to a corrective step and/or disciplinary action and the offense is listed in the Table and the range of penalties for the offense and the number of the offense includes major disciplinary action and you decide to recommend major disciplinary action by the issuance of a Preliminary Notice you must consult with the Employee Relations Officer at the Department Level prior to taking any action. The Preliminary Notice must have his/her approval before it is issued. 6. In official reprimanding or suspending an employee, the Notice of Official Reprimand and Notice of Suspension from Duty Without Pay Forms shall be used. Before these completed forms are given or shown to the employee involved, they will have been reviewed with the Employee Relations Officer, at the Department Level, and have his/her approval. 7. If an employee subsequently commits an incident of the same nature and you had exercised your authority not to take a corrective step for the previous like offense, you cannot exercise that authority a second time without prior approval. If approval is not given, then you must take the appropriate corrective step for the current offense. 8. When a corrective step or steps have been taken for an offense and a subsequent like offense occurs, the previous corrective step or steps are used to determine the number of the infraction of the current offense. Accordingly, any corrective step or minor disciplinary action taken or major disciplinary action recommended for the current offense must be that of the applicable infraction. Copies of the documentation of the implemented corrective step and/or minor disciplinary action shall be attached to the file copies of the notice of disciplinary action. 9. If an offense is not listed in the Table before you take any action, you must consult with the Employee Relations Officer at the Department Level and be guided by his/her directions in determining the range of penalties for the offense. 10. Before any disciplinary action is taken against a provision or unclassified employee, the facility must first discuss the matter with Employee Relations Office at the Department Level.

D. Corrective/Disciplinary Action Review.

 

1. All Corrective/Disciplinary Action will be reviewed by the Employee Relations Officer prior to distribution. 2. Requested Corrective/Disciplinary Action will be submitted in conjunction with one of the following forms:

a. Recommendation for Corrective or Disciplinary Action (ERO-1)

(1) Utilized by all departments other than nursing.

b. Recommendation for Corrective Disciplinary Action (ERO-2N)

(1) Utilized by the Nursing Department.

3. The ERO is authorized to modify or editorialize recommended action. Should dramatic changes be necessary, the ERO will consult with the appropriate department head.   4. The ERO may deny/recommend disciplinary action.

IV. GRIEVANCE AND APPEALS

A. Should an employee disagree with corrective action, that employee may grieve the matter.

The Department of Personnel Grievance Form (DPF-251) shall be used.

 

B. Should an employee disagree with minor disciplinary action, that employee may appeal the minor disciplinary action.

The Department of Personnel Appeal of Minor Disciplinary Action Form (DPF-35) shall be used.

 

C. Should an employee disagree with major disciplinary action, that employee may appeal the major disciplinary action.

It is incumbent upon an employee to file their appeal of major disciplinary action.

 

D. Dismissal/termination is handled the same as major disciplinary action.

This procedure will not detract nor alter any contractual agreement between the State of New Jersey and those labor organizations which are recognized in the negotiated agreements.
 

OFFENSES AND PENALTIES TABLE
 

OFFENSE INFRACTION

A.1. First
A.2. First and Second
A.4. First and Second
A.5. First and Second
A.6. First, Second, and Third
A.7. First, Second, and Third
A.8. First and Second
A.9. First
A.10. First and Second
A.11. First
B.1. First and Second
B.4. First
B.6. First
C.1. First and Second
C.12. First and Second
C.15. First and Second
C.18. First
C.20. First
C.21. First
C.22. First
C.23. First
C.24. First
C.26. First
D.4. First
D.6. First
D.9. First
D.10. First and Second
D.11. First
D.12. First and Second
D.13. First and Second
D.15. First
D.16. First and Second
D.17. First


EMPLOYEE RELATIONS  - 47-03-001

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