Discipline: A little informed action can make your job and sleep a lot better

1. Discipline:A little informed action can make your job (and sleep) a lot better May 17, 2010 Stephen Smith, VPHR&LA With thanks to Jim Tuttle, Lee Lambert, and AAG Mitch Sachs

3. Four mistakes managers make when disciplining employees

4. Mistake no. 1

5. Mistake no. 2

6. Mistake no. 3

7. Mistake no. 4

8. Discipline in general

9. Discipline in general (cont.)

10. Discipline in general (cont.)

11. Progressive discipline

12. Progressive discipline overview (cont.)

13. Progressive discipline overview (cont.)

14. Progressive discipline overview (cont.)

15. Types of misconduct subject to discipline (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

16.  Types of misconduct subject to discipline (PAB cases)�(cont.) Inefficiency Insubordination Malfeasance (wrongful conduct by a public officer or in an official role) Neglect of duty Willful violation of published employer rules or regulations Violation of policy

17. 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 and for sufficient cause (Art. XII) Dismissal only after corrective action and for specified sufficient cause (Art. IX.C)

18. Disciplinary procedures- collective bargaining agreements-1 WFSE/ HE (classified): Must protect employee privacy (29.3) Right to request union representative at investigatory interview or pre-disciplinary meeting (29.5) Notice & response opportunity before discipline, except reprimands (29.7) Discipline may be grieved (29.9) & usually then arbitrated by AAA (30)

19. 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-majority review committee; final decision on dismissal by Board of Trustees (Art. XI)

20. Disciplinary procedures� Unrepresented 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.)

21. (1) Corrective action v.  (2) Formal discipline Corrective action: where �progressive� starts Informal? Not appealable? Formal discipline: when corrective action hasn�t worked Employee loses pay Subject to grievance and arbitration

22. Distinguish: Correcting vs. Counseling Correcting is an �FYI� factual review of a perrmance issue or concern, to ensure the employee understands what they did was not acceptable. Corrective Counseling is �more than that,� an expression of dissatisfaction with specific performance

23.  (1) Corrective actions�types (AGO) Oral reprimand�explanation, expectation, warning (recorded) Written corrective action plan-explanation, action(s), warning, acknowledged/ signed Memo of concern/ counseling�not quite a reprimand Written reprimand�personnel file, �grievable� by represented employees

24. Oral/ verbal reprimand

26. Corrective action writings

27. Corrective action plan (1 of 2)

28. Corrective action plan (2 of 2)

29. Investigations�generally 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

30. Investigations�steps (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!

31.  Investigations�steps (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)

32. Pre-discipline notice & conference

33. Pre-discipline conference (cont.)

34. (2)  Disciplinary action--letter From appointing authority, signed Summarize progressive discipline history (or justification for skipping) but avoid �double discipline� Specify misconduct; attach documentation? Usually at least 15 days prior to effective date for pay reduction, demotion, or dismissal Notice of right to grieve or appeal

35. Formal discipline--types 1A. Suspension�15/30 day limits? 1B. Reduction in salary�lower step in same range for specified time 2. Demotion�to different position with lesser salary range 3. Dismissal�as follow-up or for extremes 4. Immediate dismissal�good of the service

36. Suspension

37. Termination

38. Review Standard: Just Cause (1,2 of 7) 1. Did the employer put the employee on notice of the possible or likely disciplinary consequences of the employee�s conduct? 2. Was the employer�s rule reasonably related to the operation of the employer�s business?

39. Review Standard: Just Cause (3-5 of 7) 3. Did the employer, prior to imposing discipline, determine whether the employee violated or disobeyed an employer rule or the employer�s expectations? 4. Was there an investigation or fact-finding? 5. Did the employer obtain substantial evidence or proof?

40. Review Standard: Just Cause (6-7 of 7) 6. Has the employer applied the rules consistently to other employees? 7. Was the discipline reasonably related to the seriousness of the employee�s proven offense?

41. Lee�s Golden Rule

42. Golden Rule (cont.)

43. Golden Rule (cont.)

44. Conclusion Employee discipline de-mystified: Progressive discipline: correction action plus, if necessary, formal discipline Just Cause Fairness General principles and issue-spotting are the keys. (You can look up specifics, or call HR.)