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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
Adapted from HR on Campus
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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
Adapted from HR on Campus
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Mistake no. 3
Applying rules inconsistently
(unfairness)
Adapted from HR on Campus
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Mistake no. 4
Applying penalties inconsistently (did
I mention fairness?)
Adapted from HR on Campus
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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.
Adapted from HR on Campus
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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Progressive discipline overview(cont.)
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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Progressive discipline overview(cont.)
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.)