View Point Health Basics of Supervision Course Series Module 6 Progressive Discipline HR, JE, 06/15/12
Part 1 Discipline Basics
Goals of Progressive Discipline • Solvethe problem!!! • Enhance the relationship between the employee and supervisor. • Build personal responsibility/accountability. • Generate a compelling defensibility should we not reach the goal and move to termination.
Handout Superior Perform Flow Chart • Discipline Without Punishment • Based on the book Discipline Without Punishment: The Proven Strategy That Turns Problem Employees into Superior Performers written by Dick Grote, published in 1995. • DWOP is a form of progressive discipline, however, rather than punishment it focuses on changing behaviors. • DWOP is a process that emphasizes an employee’s responsibility and accountability for his/her own behavior/actions. • Supervisors are responsible for communicating the expected change and necessary improvement in a respectful, non-threatening way, while maintaining concern for the • seriousness of the situation.
Manage Discipline Proactively • Address problems immediately. • Aim for correction, not termination. • Be encouraging. • Emphasize the employee’s personal responsibility for choice. • Emphasize your desire to assist them.
Progressive Discipline Should Benefit • The employee • The supervisor • Their co-workers • The organization
Employee Responsibilities • Attendregularly and on time. • Perform duties adequately. • Be mentally and physically prepared to do the job. • Adaptto change. • Get along with co-workers and supervisors. • Treat clients professionally, with dignity and respect. • Respond positively to direction. • Learnthe job at hand and the jobs to come. • Adhere to terms and conditions of employment. • Meet VPH ethicalstandards.
Supervisor Responsibilities • Clarify Expectations • Provide Training • Arrange appropriate consequences • Provide regular and constructive feedback • Remove obstacles • Recognize good performance • Practice client-focused, outcome-based leadership
What does HR review? • Consistencywith actions taken against similarly situated employees for similar incidents AGENCY-WIDE. • Historyof the problem, copies of any documentation, and recommendation from Program Director. • Compliancewith VPH Policy and state and federal employment rules and regulations.
? • Pop Quiz • The disciplinary philosophy based on Dick Grote’s book is called __________ _______ _________. • Aim for__________, not termination. • Emphasize an employee’s r________ and a________for his/her own c_______. • Supervisors should practice c________-focused, o_______-based leadership.
Part 2 Disciplinary Issues
Handout Issue Decision Map • Progressive Discipline Addresses… • Work performance issues • Work habit issues • Conduct issues
Disciplinary Issues • Failureto perform or negligence or inefficiency in performing assigned duties • Inabilityor unfitness to perform assigned duties, including failure to maintain requisite licenses or certifications • Insubordination • Misconduct • Conduct reflecting discredit on VPH Community Service Board
Handout ProgDiscp Policy • Disciplinary Issues (cont.) • Commission of a felony or other crime involving moral turpitude • Chronic tardiness or absenteeism • Failure to report for or remain at work without justifiable cause • Politicalactivity in violation of VPH policy • Failure to process performance appraisals in a • timely manner
Choosing Disciplinary Steps • Depend on: • The type of offense • The severity of the offense • The circumstances of the offense • The outcome of the offense • Regulations that may apply • The employee’s disciplinary history
Handout Serious Offenses Exercise • Serious Issues • Progressive discipline steps DO NOT apply to problems of: • Serious misconduct • Insubordination • Serious negligence • These types of issues go directly to the HR Director and Program Director for investigation and resolution.
Investigations • Employees are obligated to participate in investigations where they may have information related to complaints or violations of agency policy. • Withholding information or failing to cooperate with an investigation is a disciplinary issue in itself and may result in disciplinary action up to and including dismissal.
? • Pop Quiz • Which of the 3 basic categories (Work performance, Work habit, Conduct) does each issue fit into? • Yelling at a colleague • Not completing documentation of appointments • Continual tardiness • The disciplinary step taken depends on: • The t___of offense • The s_____of the offense • The c_________of the offense • The o______of the offense • R_________that may apply • The employee’s disciplinary h_____
Part 3 Initial Discussion
The Initial Discussion • Should be initiated early • Should include the following: • The nature of the issue • How to correct the issue • Time frame for correction
Handout Pre and Post Meeting • Discussion Structure • Openthe Discussion • Describeactual/expected performance • Reach agreement and gain commitment • Endthe Discussion
Part 4 Counseling
Counseling • Typically the 1st step in Progressive Discipline • A private, straightforward discussion with the employee about the nature of the problem and what must be done to correct it
Counseling • Counseling occurs in response to specific identified issues that have occurred despite previous training and coaching that should have prevented occurrence. • Counseling not only informs the employee about the problem and the expected corrective action but also clearly communicates the expectation that unless corrective action takes place, an adverse action may occur. • Like coaching, counseling can include strategizing with the employee.
Strategizing a Solution • Have a 2-way discussion to answer these questions: • What are the steps to resolution? • What are the obstacles? • Does the ee need assistance? • When can ee reasonably be expected to resolve the issue?
Counseling Documentation • Not documented in Personnel File. • Documented in supervisory file. • Documentation should include: • Dateof the meeting • Summaryof the discussion • Agreed-upon time for progress review
? Handout Role Playing • Pop Quiz • Disciplinary discussions should include: • The n_____of the issue • How to c_____ the issue • The t____f_____for correction
Part 5 Letter of Expectation
Letter of Expectations • Used when: • Counseling has been unsuccessful • Supv believes issue can be corrected without formal disciplinary action • Calls attention to issue in more official manner • Ee and supv both keep copies of signed letter • (not HR)
Typical Disciplinary Notice Elements • The letterhead of HR or the program • The delivery date • A statement of the nature of the letter • The history of the problem • The history of past corrective measures • Reference back to the rule or policy that has been broken • An explanation of the seriousness of the problem • The importance of the need for the employee to correct the problem • An outline of future expectations • A place for the employee’s signature and date
Part 6 Letter of Reprimand
Letter of Reprimand • 1st level of formal disciplinary action • Consult HR Director before issuing for: • Appropriateness • Timing • Content • Copies of signed letter to ee, supv, HR
Letter of Reprimand Includes… • Statement of the issue • Description of efforts to resolve issue • Description of ee’sresponse to correction efforts • Expectations for correction • Deadline for correction • Warning of further disciplinary action
? • Pop Quiz • Name three elements of any written disciplinary notice. • Which goes into the ee’s Personnel File? • Letter of Expectation or Letter of Reprimand • Which is the 1st formal level of disciplinary action?
Part 7 Intermediate Disciplinary Steps
Intermediate Disciplinary Steps • Also called “Adverse Actions” • Suspension • Pay Rate Reduction • Demotion • Chosen based on: • Nature of issue • Severity of issue • Response to prior corrective steps • Probability of positive outcome
? • Pop Quiz • What is the purpose of all disciplinary steps covered so far? • An employee is repeatedly late to work or absent • What step would you begin with? • What step would you take next if no improvement is evident?
Part 8 Dismissal
Dismissal from Employment • Typically follows other disciplinary steps • except in most extreme circumstances • Only authorized by CEO or designee • Formal separation letter signed by CEO • Subject to: • SPA regulations for Classified • State laws • Federal laws • Court decisions
Misconduct Terminations should be CLEAN!(Misconduct terminations involve the behavior of employees.) • C-code • Do we have a clear policy or rule prohibiting the conduct? • L-leave:has the employee been placed on leavepending the investigation? • It is sometimes difficult to justify a termination for serious employee misconduct when we’ve allowed the employee to continue to work after we had evidence of the violation. • E-explanationfrom the accused • Have we given the employee a chance to respond to the charges against him/her? A written statement is preferable. • A-affidavitsfrom witnesses • Do we have written statements from the witnesses to the misconduct? This will protect the decision if the witnesses later recant or are unavailable at trial. • N-non-discriminatorydecision • Make sure that you are being consistent in your decisions and that all similarly situated employees are treated alike.
Performance Problem Terminations should be NEAT!(Performance terminations involve the employee’s job duties.) • N-noticeof the problem • Have we given the employee notice of the performance problem (PMF, Letter of Expectation, Letter of Reprimand, etc.)? • E-explanationof the problem and how to correct • Has the supervisor clearly articulated the problem and what the employee should be doing in order to correct the problem? • A-assistancein improving • Has the employee been given assistance in improving the performance problem (training, one-on-one counseling, etc.)? • T-timeto improve • Has the employee been given a reasonable amount of time to improve his/her performance? (Balance this with the need to deal with performance issues promptly and not let them linger.)
? • Pop Quiz • An employee fails to maintain the licensure necessary to perform his job duties • What step would you begin with? • Who would you consult before taking action? • Misconduct terminations should be CLEAN: • C____, L______, E______, A_______, N_______ • Performance terminations should be NEAT: • N____, E______, A______, T_______
Part 9 Disciplinary Documentation
Disciplinary Documentation Basics • Document as if it’s for a jury, because sometimes it is. • The courts/laws are not supposed to be fair. • They are supposed to favor the weaker party (ee). • The burden of proof is on the employer. • If it’s not documented, it did not happen. • If it’s not signed by the ee, was it issued to them?
10 Golden Rules of Disciplinary Documentation Document all counseling. Document facts, not conclusions. Document employee response. Prepare for counseling beforehand. Document the standard. Do all counseling in private. Make counseling a two-way process. Set a goal and a time frame. Use the 24-hour standard. Don’t discipline when angry. From HRhero
Example Disciplinary Notes • When problems occur, always document them in an employee performance/disciplinary file in as much detail as possible (try to include who, what, when, where, how, and why). Examples: • John Smith arrived tardy at 11:00am on Monday, 03/24/08, without calling in to report his absence before arriving. He explained that he had jury duty, but he did not have a summons. John filled out his time sheet correctly. I will check with him again for the summons before submitting a doc form. • John Smith yelled at his supervisor Judy Kline at 1:45pm on Thursday, 03/27/2008, in Lawrenceville MHC room 115. John said, “you can’t expect me to staple my TPS reports if we are always out of staples.” Judy informed John that she understood his concern, but that he needed to control his temper in the work environment and express his concern in a more genial way. The incident was witnessed by Kelly Jones and Adrian Goldberg.
Over-Documentation Problems • Documenting insignificant or trivial matters. • Giving the appearance of creating a paper trail right before an employee is terminated. • Summarizing several incidents of poor performance or misconduct that occurred over a period of time right before an employee is terminated. • Preparing documentation after an employee is terminated. • From HRhero
Disciplinary Documentation Consistency • If two documents disagree, • the jury will believe the employee. • If you don’t approve of it, don’t approve it. • (approved Leave Requests, schedule changes, etc.) • Performance Reviews • (Annual, Mid-Year, and Quarterly) • must reflect any issues during the period. • Remember: Performance Plans and Reviews are formal, periodic employment documentation.
Disciplinary Documentation Examples • Productivity files should include: • Dated notes on ee behavior • Dated notes on ee performance • Examples of ee work • Productivity reports • Dated notes on discussions with ee • Dated notes on complaints about ee • Dated notes on ee responses to coaching • Training certificates • Dated, signed policy acknowledgements
Objective Disciplinary Documentation • Subjective evaluations are not provable, and do not support disciplinary actions. • Poor conduct by an employee typically tangibly affects work performance and the office environment. • Reflect conduct issues in the Core Competency evaluations: • Teamwork and Cooperation • Customer service • Results orientation • Judgment and Decision-making • Accountability