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DISCIPLINE.ppt
1. The Use of Counseling
and Discipline to
Improve Employee
Productivity
2. Counseling vs. Discipline
Counseling
Face-to-face
Communication
Conducted by
supervisor
Usually, first form of
action
Discipline
Penalization
MUST be conducted
by Human Resources
Typically, second form
of action (if counseling
fails)
3. Counseling is Not Working, Now
What?
If counseling with the employee
fails, or the nature of offense is
beyond counseling, disciplinary
action is reviewed by Human
Resources who will typically
recommend courses of action
4. Before Reporting to Human
Resources: Gather the Facts
What happened?
Who was directly involved
Did anyone witness (see and/or hear)
anything?
Was the employee asked to explain?
List any extraordinary circumstances
5. Before Reporting to Human
Resources: Gather the Facts
Should the employee reasonably have known the
actions were wrong? How?
Be prepared to :
discuss the employment history of the employee
Discuss any previous counseling
Discuss any previous discipline
6. Before Reporting to Human
Resources: Gather the Facts
Be prepared to (cont’d):
Define rating of performance
Identify any other employees in the unit who have acted
similarly? If so, when & what happened?
Discuss the impact on the immediate supervisor and the unit
Provide any and all documentation and proof to serve as
evidence
7. Common Reasons for Discipline
Time and Attendance
Marginal or unsatisfactory Performance
Behavior Problems and Insubordination
8. Time and Attendance
All leave, except for emergencies and illness
must be approved in advance
Scheduled Leave:
Meetings, routine medical appointments, vacation
Unscheduled Leave:
Illness of self or family
9. Tardiness
Employees are expected to be at their workstation at
the prescribed start times. Arriving late at the start of
the day or after the lunch break, may constitute
tardiness. Regardless of how many minutes.
When known in advance, should notify supervisors
prior to shift.
Classified staff - if more than 7 minutes late, should
charge accruals
10. Guidelines for Dealing With Time
Abuse
Maintain and analyze attendance record
Call-in directly to supervisor or chain of
command
Counsel employee when appropriate
11. Guidelines for Dealing With Time
Abuse
Learn to say “no” to requests that reasonably
could have been made in advance, where
appropriate
Consult with Human Resources for options,
including:
Asking for documentation, and leave requests to
be in writing
12. Case Study: Rhoda
In your group, discuss the problems presented
and the various strategies for addressing them
How well do you think the supervisor handled
the situation?
How else could the supervisor have approached
the problem?
13. Why Marginal or Unsatisfactory
Performance?
Lack of communication between supervisor and
employee regarding performance expectations
Lack of necessary skill or knowledge
Lack of commitment by employee
Personal problems
14. Elements of Behavior Problems
and Insubordination
Was the employee actually given an order or
directive?
Was the person who gave the order authorized to do
so?
Did the employee understand that an order was
given?
15. Elements of Behavior Problems
and Insubordination
Was a deadline set for compliance and was the time
limit reasonable?
Was it reasonable for the employee to expect
penalty for failure of compliance?
Was there a clear refusal to carry out the order?
16. Case Study: Rita Rite
PART ONE
Decide what you’ll say to Rita when you call her
in to talk.
Will you write a memo to document the
discussion?
PART TWO
What steps should you take?
17. Decision for Discipline:
Before issuing a Notice of Discipline, Human
Resources must:
Decide if allegations are seriousness enough to warrant discipline
Conduct a thorough investigation of the incidents
Interview all individuals with knowledge of an event prior to
interviewing target
Review any written policies, guidelines, etc.
18. Decision for Discipline:
Before issuing a Notice of Discipline, Human
Resources must:
Schedule an ‘interrogation’ as defined by CBA with target individual
and direct employee to attend with right to representation
Provide and read target employee his/her rights under the CBA
Interrogate (interview) the target individual
Once the interrogation is concluded, decide if discipline is warranted
and what an appropriate penalty would be
Issue Notice of Discipline
19. Discipline:
Arbitration Standards
Was there a rule forbidding the alleged misconduct?
Did the employer communicate the work rules to the employee?
Was the rule reasonable?
Identify legitimate justification for insubordination if possible?
20. Discipline:
Arbitration Standards, cont’d.
Did the employee violate the rule?
Evaluate the quantity and credibility of the employer’s
evidence.
What constitutes an appropriate penalty?
Apply standards of progressive discipline when assessing
penalties.
Encourage the employee to correct inappropriate or
unacceptable behavior by means of support through
management and/or issuing an Employee Assistance Program
if needed.
21. Considerations for Appropriate
Penalty
Seriousness of problem or infraction
The duration of this and/or other problems
The frequency and nature of the problem
Consistency in the supervision of employees
Extenuating factors related to the problem
22. Considerations for Appropriate
Penalty
The employee’s knowledge of the rules
The history of the organization’s discipline practices
Implications for other employees
Management banking
23. Discipline:
Procedure
Interrogate employee
Issue a Notice of Discipline containing proposed penalty
Employee has the right to grieve
Step 1: Human Resources
Step 2: SUNY Employee Relations
Arbitration and/or Settlement
Upon settlement or decision, the penalty can then be
implemented
24. Discipline:
Common Outcomes
Written Reprimand
Permanent written record in personnel file
Monetary Fine
Temporary Reassignment
Change of responsibility and job title
Suspension without pay
Assault, theft, endangering others, antisocial behavior
Resignation/Termination
An employee guilty of misconduct or incompetence