This document discusses counseling and discipline procedures for improving employee productivity. It defines counseling as face-to-face communication conducted by a supervisor, usually as a first action, while discipline involves penalization and must be conducted by HR, typically as a second action if counseling fails. The document provides guidance for supervisors on gathering facts before reporting issues to HR, common reasons for discipline including attendance, performance, and behavior issues, and considerations for determining appropriate disciplinary penalties.

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

25. Questions and Comments