discipline training opcom may 201010

7/29/2019 Discipline Training OpCom May 201010

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Training goals

De-mystify employee discipline; HRs &

supervisors roles

Overviews of discipline & progressivediscipline

Corrective actions v. formal discipline

(types of both)Investigations & disciplinary procedures

Review/ second-guessing standards


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Four mistakes managers makewhen disciplining employees

When disciplinary actions fail, usually its

because a manager has committed one ormore of four mistakes.

Adapted from HR on Campus


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Mistake no. 1

Ignoring unacceptable behavior in

hopes that:

a) no one else will notice,

b) it will correct itself, and/or

c) the employee will eventually just go

away



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Mistake no. 2

Saving up a laundry list of occurrences

in hope that, when added together, theywill justify a bigger penalty



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Mistake no. 3

Applying rules inconsistently

(unfairness)



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Mistake no. 4

Applying penalties inconsistently (did

I mention fairness?)



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Discipline in general

The purposes of discipline include:

1. Provide employees with adequate

information about how their currentperformance, attendance or behavior

differs from whats expected

2. Motivate and assist employees inchanging their performance,

attendance or behavior


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Discipline in general (cont.)

3. Enhance employee morale and

performance by showing that

inadequate performance by fellowemployees wont just be tolerated


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Rule of thumb: Similarly situatedemployees should receive similar penalties

for similar offenses. (Employees do not

have to receive identical penalties, but if all

relevant circumstances are similar, the

penalties should be similar.)

Rule of other thumb: Majordifferences in situation or circumstances can

justify very different penalties.


Discipline in general (cont.)


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Progressive discipline

You know what it means:

A system that imposes progressivelygreater disciplinary measures upon an

employee whose performance continues

to be substandardAdapted from HRhero.com


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Progressive discipline overview(cont.)

Benefits for all:

Gives employee direct notice ofunacceptable conduct or performance,

and the consequences

Gives employee an opportunity tocorrect unacceptable conduct or

performance


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Benefits especially for employer:

Gives employer assurance that it has

made reasonable effort to obtain theemployees best performance

Gives employer a written record that

will be useful in heading off or

defending any arbitration or lawsuit

that might result from discipline/

discharge


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Disadvantages (?):

Must be consistent

Must have written documentation

Doesnt reward procrastination


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Types of misconduct subject todiscipline (Pers. Apps. Bd. cases)

Abuse of fellow employees

Conviction of a crime involving moral

turpitude [inherent baseness, depravity] Excessive tardiness or absenteeism

Gross misconduct

Incompetence

Indolence


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Types of misconduct subject todiscipline (PAB cases)(cont.)

Inefficiency

Insubordination

Malfeasance (wrongful conduct by a publicofficer or in an official role)

Neglect of duty

Willful violation of published employerrules or regulations

Violation of policy


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Misconduct subject to discipline-collective bargaining agreements

WFSE/ HE (classified):

No discipline without just cause (29.1)

Work nexus required if discipline based

on off-duty activities (28.2)

SCCFT (faculty):

Corrective action shall be progressive andfor sufficient cause (Art. XII)

Dismissal only after corrective action and

for specified sufficient cause (Art. IX.C)


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Disciplinary procedures-collective bargaining agreements-1

WFSE/ HE (classified):

Must protect employee privacy (29.3)

Right to request union representative atinvestigatory interview or pre-

disciplinary meeting (29.5)

Notice & response opportunity beforediscipline, except reprimands (29.7)

Discipline may be grieved (29.9) &

usually then arbitrated by AAA (30)


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Disciplinary procedures-collective bargaining agreements-2

SCCFT (faculty):

Most discipline grievable and subject

to arbitration by AAA (Art. XV) Notice and response opportunity before

any action re dismissal (Art. IX.D.1)

Dismissal hearing before faculty-majorityreview committee; final decision on

dismissal by Board of Trustees (Art. XI)


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Disciplinary proceduresUnrepresented classified & exempt

Unrepresented classified: WAC 357-40;

Personnel Resources Board

Administrative exempt employees:individual employment contracts

Non-renewal not a panacea (possible

claims of discrimination, retaliation,violation of public policy, etc.)


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(1) Corrective action v.(2) Formal discipline

Corrective action: where progressive

starts

Informal? Not appealable?

Formal discipline: when corrective action

hasnt worked Employee loses pay

Subject to grievance and arbitration

h C


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Distinguish: Correcting vs.

Counseling

Correctingis an FYI factual reviewof a perrmance issue or concern, to

ensure the employee understands whatthey did was not acceptable.

Corrective Counselingis more than

that, an expression of dissatisfactionwith specific performance

(1) C i i


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(1) Corrective actionstypes

(AGO)

1. Oral reprimandexplanation, expectation,

warning (recorded)

2. Written corrective action plan-explanation,action(s), warning, acknowledged/ signed

3. Memo of concern/ counselingnot quite a

reprimand4. Written reprimandpersonnel file,

grievable by represented employees


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Oral/ verbal reprimand

Oral counseling sessions should be

documented, by:

a notation on your calendar

an informal note in the employees

personnel file, or

a regular memo to that file


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When to begin Over- and under-documentation

Beware hearsay (non-speaker quotedas proof of the truth of what was said)

Good documentation is:

Timely

Factual/ accurate

Clear and precise

Signed and retained

Documentation generally


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Corrective action writings

A written memo, plan, or reprimand

should include at minimum:

date and employees name

description of misconduct/ inadequate

performance, including date and

expectation as appropriate

name & signature of manager/

supervisor taking the action


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Corrective action plan (1 of 2)

A corrective action plan should include:

1. A statement of the policy, rule or

practice that was violated

2. The steps which the employee

agrees to follow in order to correctthe problem(s)

3. Any commitments of assistance

made by the manager or supervisor


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Corrective action plan (2 of 2)

4. The time frame for achieving the

improved performance and the

consequences of failure. (No further

action against the employee for thatproblem during that period)

5. Language broad enough to include

all conduct which is reasonablyrelated to the conduct in question

Remember to follow up with further

discipline if appropriate


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Investigationsgenerally

Goal: Discover all relevant information

through a fair process

Must be prompt Scope must be appropriate to concern/

allegations, yet thorough

Must be objective: Who, What, Where,When, Why & How


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Investigationssteps (1 of 2)

Define issue(s)not just fishing

Identify potential witnesses/ sequence,

available documents and evidence

Evidence can be verbal, written, and/or

physical; cf. demonstrative

Favorite trick: request drawing of a map

Witness interviews: plan key questions, use

of documents; listen!


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Investigationssteps (2 of 2)

Records of interviews: notes, written/

signed statements, recordings?

Interview admonitions: NO retaliation

KNOWN un-confidentiality???

Report: just facts/ findings (no opinions)

Consult with HR? (Role of HR)

P di i li i &


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Pre-discipline notice &conference

Must notify employee & union of

contemplated discipline (except

reprimands) & right to respond

Loudermill; WFSE 29.7

Employee gets opportunity to respond

(conference default; writing alternative)

For conference, be prepared, get to

purpose quickly. Be courteous; give

employee fair opportunity to have his/

her say.


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Pre-discipline conference (cont.)

Pay close attention, but dont argue,

apologize, or say too much. Avoid

sympathetic comments that might be

distorted in later appeal (sorry ...). Take notes. If the employee does not

dispute the reason, acknowledges that

performance has not been good, ormakes any other statement that supports

the contemplated action, record this.

If dismissal, ask for alternatives?

( )


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(2)

Disciplinary action--letter

From appointing authority, signed

Summarize progressive discipline history

(or justification for skipping) but avoiddouble discipline

Specify misconduct; attach documentation?

Usually at least 15 days prior to effectivedate for pay reduction, demotion, or

dismissal

Notice of right to grieve or appeal


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Formal discipline--types

1A. Suspension15/30 day limits?

1B. Reduction in salarylower step in

same range for specified time

2. Demotionto different position with

lesser salary range

3. Dismissalas follow-up or for extremes

4. Immediate dismissalgood of the service


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Suspension

As a general rule, each suspension

should be longer than the last.


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Termination

Review the personnel file and all

relevant documents, includingperformance evaluations, to determine

if the termination is appropriate.

Ensure that similarly situatedemployees have been treated similarly

in the past.

R i St d d J tC


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Review Standard: J ust Cause(1,2 of 7)

1. Did the employer put the employee on

notice of the possible or likely disciplinary

consequences of the employees conduct? 2. Was the employers rule reasonably

related to the operation of the employers

business?

R i St d d J tC


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Review Standard: J ust Cause(3-5 of 7)

3. Did the employer, prior to imposing

discipline, determine whether the employee

violated or disobeyed an employer rule orthe employers expectations?

4. Was there an investigation or fact-

finding? 5. Did the employer obtain substantial

evidence or proof?

Re ie Standard J stCa se


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Review Standard: J ust Cause(6-7 of 7)

6. Has the employer applied the rules

consistently to other employees?

7. Was the discipline reasonably related tothe seriousness of the employees proven

offense?


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Lees Golden Rule

Most jurors in an employment case will

be asking themselves this question: Did

the employer treat the employee fairly?(So whether the employee was treated theway most people would want to be

treated may ultimately be decisive.)

This simply summarizes other more

specific questions:


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Golden Rule (cont.)

Was the employee given adequate guidance?

Was it made clear to the employee that

what he or she was doing was wrong?

Was the employee given a warning

about the consequences? Was the employee treated differently

from other employees?


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Golden Rule (cont.)

Is the employer now giving a reason

for the discipline/ discharge that differs

from what the employee was told? Were written procedures followed?

Does the documentation in the

personnel file (especially performance

evaluations) and available evidence

(witnesses?) support the stated reason

for the discipline?


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Conclusion

Employee discipline de-mystified:

Progressive discipline: correction action

plus, if necessary, formal discipline Just Cause

Fairness

General principles and issue-spotting are thekeys. (You can look up specifics, or call

HR.)

discipline training opcom may 201010

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