Management Development presentation covering documentation, investigation, discipline, performance issues, and reasonable suspicion.

1. Working with HR and Legal to
Address Tough Situations
Performance, Discipline, Legal Issues

2. Performance Action Plans
Define the Problem
 Is the problem a performance
problem (employee has not
demonstrated the ability to
perform necessary skills/tasks) or
is it a behavior problem
(employee may perform tasks but
it disruptive).
Determine Improvement
Needed
 What is required of the employee
in order to successfully complete
their duties?
 Which skills need improvement?
 What changes need to be made?
 What behaviors need modified?

3. Performance Action Plans
Establish Priorities of
Duties
 What are the possible
consequences of errors
associated with these duties?
 How frequently are these duties
performed?
 How do they relate when
compared with other duties?
Determine Standards of
Measurement
 Are they reasonable?
 Are they attainable?

4. Performance Action Plans
Establish Timetable
Establish short and long-term goals
and timetables for accomplishing
change in performance/behavior with
the employee.
 Are they reasonable?
 Are they attainable?
Develop an Action Plan
 Express performance standards
for the job and review past
performance of the employee.
 Describe areas that must improve.
 Ask for the employee’s view on
why his/her performance does not
meet standards.
 Discuss possible solutions and
how the employee proposes to
solve the problem.
 Agree to a written plan containing
specific goals and timetables.
 Are there periodic review dates?

5. Performance Action Plan
 Has plain and simple language been used?
 Have specific references been used to identify areas of deficiency?
 Have specific examples been used in periodic reviews which clearly
identify accomplishments or continuing deficiencies?
 Have you chosen an easy-to-read format such as a table or memo
format, or a duty by duty listing?
 Has the Performance Action Plan been communicated with HR?
 Has the employee been given a copy of the Performance Action Plan?

6. Disciplinary Matters
I'm friends with everybody in this office.
We're all best friends. I love everybody
here. But sometimes your best friends
start coming into work late and start
having dentist appointments that aren't
dentist appointments, and that is when it's
nice to let them know that you could beat
them up.
Michael Scott, The Office

7. Discipline
Purpose
The purpose of discipline is
not to punish an employee.
It is an attempt to work with
the employee to stop
improper conduct.
Always focus on the
conduct and not the person.
Progressive Discipline
 Counseling/Caution & Instruction
 Verbal/Oral Reprimand
 Written Reprimand
 Unpaid Suspension
 Termination
Other forms:
 Demotion/Reduction
 Working Suspension
 Reassignment

8. Documentation & Discipline
Why Document?
 If it was not documented, it
didn’t happen.
 If it was not documented at or
near the time of the event, it is
not reliable.
 If the documentation is
incomplete or inaccurate, it is
not reliable.
Elements
 Written, dated, and timely
 Factual and specific (what
exactly happened, who was
involved, where did it happen)
 Objective – focus on job-
related behavior and
standards, rule or policy
violated
 Not speculative (If I were to
guess, the employee…)
 No editorial comments, no
inappropriate comments

9. Discipline: 7 Tests of Just Cause
1. Reasonable rule or order. Was the employer’s rule or order
reasonably related to the orderly, efficient and safe operation of
the employer’s business and the performance the employer
might properly expect?
2. Notice. Did the employer give the employee forewarning of the
possible consequences of the disciplinary conduct?
3. Effort to determine if there was a violation. Before
administering discipline, did the employer make an effort to find
out if the employee did violate or disobey a rule or order?
4. Fair and objective investigation.

10. Discipline: 7 Tests of Just Cause
5. Proof/Substantial Evidence. Was there sufficient evidence to
support a finding of guilt?
6. Equal treatment. Has the employer applied its rules, orders
and penalties evenhandedly and without discrimination to all
employees?
7. Appropriate penalty. Was the degree of discipline
administered by the employer reasonably related to the
seriousness of the offense and the employee’s record of service
with the employer?

11. Investigations
 All investigations are taken seriously.
 Facts will be gathered.
 List of witnesses and affected parties will be
prepared.
 Who, what, when, where and why will be answered.
 Determine whether or not other individuals have been
subjected to similar situations.
 Interviews will be conducted and/or statements
obtained from the alleged victim, alleged harasser,
and any witnesses.

12. Investigations
 Determine whether this behavior had been reported
before, and if there was a past pattern of this type of
behavior.
 Consider the severity, frequency, pervasiveness of
the conduct when recommending or imposing
discipline.
 Investigation is not “confidential” but is kept to a “need
to know” basis.
 Remind all parties involved in the investigation of the
Commission’s policies and to report any additional
information – discuss issue of retaliation.

13. Investigations & Discipline
 Report completed.
 Recommendation to discipline made.
 Pre-disciplinary hearing scheduled, if applicable.
 Level of Discipline recommended.
Reprimands Supvr/Dept. Head
Suspensions HR Director
Terminations HR Director, General
Counsel & Exec. Director

14. Reasonable Suspicion
Testing conducted after there is reasonable cause for suspicion of
using or being under the influence of drugs or alcohol at work
 Testing based upon observable signs and symptoms of possible
drug/alcohol use.
 Testing conducted during a time when individual exhibits signs
and symptoms.
 Not based upon second hand reports.
 Preferable if the Decision to test is made by 2 supervisors who
concur.

15. Reasonable Suspicion Steps
 Observation/Documentation
 Notification to Individual
 Consent or Refusal to Consent
 Transportation of Individual to Testing Facility
 Specimen Collection
 Documentation to HR
 Test Result Notification to HR
 Outcome

16. Involving Legal Counsel