RubinBrown Team Member Manual

Section: Corrective Action Procedures 804

Policy Title: Policy Number:

Personal Conduct

Effective Date:

Supersedes Policy Dated:

06/01/2024

06/01/2023

Background: RubinBrown expects a high level of performance, professionalism, and accountability from each team member. Policy: Our formal, performance review process is designed to address specific areas for improvement, identify achievement and to reinforce success. When team members do not meet certain standards of work performance and/or workplace conduct, corrective action procedures may be necessary. Corrective action procedures may be taken in progressive order up to and including termination for cause or may be administered as the situation warrants. Decisions will be made based on the facts of each situation. Corrective action procedures may include verbal and/or written warnings, work improvement plans, suspension, up to and including termination. RubinBrown reserves the right to effect immediate termination should the situation be warranted. Procedure: A preliminary meeting will be held with the team member to provide the opportunity to understand the nature of concern and to allow feedback regarding the situation. If the preliminary meeting does not result in correction of performance and/or conduct, a second meeting will take place to inform the team member of the specific expectations that are required. At this time, the team member may be placed on a Work Improvement Plan (see description below). If the team member performance does not improve, this may result in further disciplinary action, up to and including termination. The Work Improvement Plan is designed to identify specific performance areas in need of improvement and suggestions on how to improve performance to an acceptable level. Typically, progress on a Work Improvement Plan will be reviewed over a 60 to 90 day period. Generally, a team member on a Work Improvement Plan is not eligible to transfer or be promoted for a minimum of 60 days or the length of the review period, whichever is greater. In the event of serious misconduct, a team member may be suspended and/or discharged on the first offense. If a team member’s misconduct is under investigation, the team member may be suspended without pay. Serious misconduct includes, but is not limited to: • Theft • Falsification of Recorded Work Time • Falsification, alteration, or improper handling of firm or client related records • Unsatisfactory client service • Disclosure or misuse of confidential information related to firm or clients • Unauthorized possession or concealment of weapons • Possession, use, sale, manufacture, purchase or working under the influence of non-prescribed or illegal drugs, alcohol, or other intoxicants • Insubordination (e.g. refusal to carry out direct assignment) • Misuse of the firm’s electronic information system as documented in the electronic information policy

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