Effective Discipline
|
|
|
|
|
Welcome
|
|
|
Welcome to "Effective
Discipline: Policy and Practice". You are scheduled to attend the
classroom portion of this course; your training coordinator will provide you
with date/time/location. Completing this online component is a course
requirement; at the end of the program is a completion page, which you will
need to print and bring with you to class. The classroom session is a
hands-on workshop in which you will take the role of a member of a
disciplinary action review board. You will hear several cases and decide
whether to uphold or overturn the action. |
|
|
Goals |
|
|
We
will review ·
appropriate
use of disciplinary action ·
process for
administering disciplinary action ·
basics of
the State's disciplinary action policy ·
guidelines
for building a sound case ·
consequences of poorly documented, impetuous
or ill-considered action |
Introduction
|
|
This program discusses
disciplinary action as it most often occurs in state government. Except in
the most extreme circumstances (abusing a client, destroying a state vehicle,
etc.) discipline is usually PROGRESSIVE and
follows an extended series of discussions and actions. It is rare that an
employee is fired without any warning. Therefore, the
information in this course will deal with discipline primarily as a
progressive process. |
Introduction-2
|
|
Do not feel that you are
in this alone. ALWAYS consult your manager and/or Human Resources office
before taking any formal action. The State policy on
disciplinary action is long and complex.
For simplicity's sake it will be covered here in abbreviated form. Should you
wish to see the full policy there is a link provided on each screen of this
program. |
Important
|
|
In learning to utilize
the disciplinary process it is important to understand that disciplinary
action is not an independent, stand-alone event. Effective
discipline is only one component in an interlocking arrangement of Human
Resources systems: |
|
|
Discipline is not
an independent event, but is part of a larger process: |
|
Performance Management |
Discipline should be closely tied to the
PM process. It is difficult to argue
that and employee should be dismissed for performance when s/he has three
years of “Outstanding” PM ratings on file.
|
|
Classification |
An accurate position description,
classification and salary are crucial to effective management.
|
|
Hiring |
Careful interviewing and reference
checking practices keep many ‘problem performers’ from being hired in the
first place.
|
|
Employee Relations |
Good relations with employees prevent many
disciplinary situations from beginning or worsening.
|
|
Training |
It is the supervisor’s responsibility to
provide the training and development opportunities employees need to be
successful in their jobs.
|
Supervisor's Role
Except in the most extreme circumstances the
disciplinary process should be seen as an opportunity to correct, not a chance
to punish.
Though taking disciplinary
action is not pleasant, the leader is obligated to act to correct unacceptable
performance or work habits.
It is not fair to the
organization, the other staff or the employee to allow unsatisfactory
performance or behavior to continue.
Here are some comments
recently made when cases were heard by the Office of Administrative Hearings:
1. “Not only was the investigation leading to the
dismissal inherently flawed by lack of an impartial investigation…
…but also the punishment was inappropriate given the
Director’s failure to discipline either Ms. Smith or Mr. Jackson for their more
egregious unprofessional conduct.”
Result: agency loses. Recommendation: employee reinstated with back pay.
2. “Evidence was presented about the supervisor’s
attitude toward the dismissed employee and the manner in which she was
terminated…
Which
raises questions about the real reasons for the supervisor’s extreme sanction.”
Result: Agency loses.
3. “The
agency has failed to prove by a preponderance of evidence that it had just
cause to demote the employee. Result: agency loses.
4. In
his defense the employee argued repeatedly that he was not being treated fairly
in comparison to other employees.” Result: agency loses. Recommendation: Employee
reinstated with back pay and reimbursement of legal expenses
In
summary: badly handled disciplinary actions are expensive in terms of:
What's Your Objective?
Be honest with yourself.
If your objective is to correct the problem, and if you've made other efforts
without success, then disciplinary action may be indicated...
...But if you are just
angry with the employee, want to 'get back', get even or punish him, or you
have let the problem go until you've finally had enough and want to take
extreme action, then you will likely fail on two levels:
·
the problem
won't be fixed
·
you will not
be able to defend your actions in the event of a grievance
WATCH FOR BIASES
It can be difficult for
the supervisor to always be objective and fair. It may be easier, for instance,
to take action against employees you don't like.
But realize as a
supervisor that everything you do sends a message.
Employees are very
sensitive to the supervisor's actions; the perception of favoritism is
demoralizing and leads to allegations of discrimination, lack of fairness and
inconsistency.
"Halo and Horns" Biases
Employee frequently brings in homemade muffins, arranges
office social gatherings, and ‘mothers’ the rest of the staff. You decide to overlook her chronic tardiness.
HALO.
Employee was transferred from another work area because of
‘conflicts with his supervisor. You
conclude that he’s a troublemaker so decide to monitor him extra-closely and
come down hard on him for every small error. HORNS.
You went to the same high school as the employee, have
children about the same age, and share several common interests. Although other employees have been fired in
the past for the same offense, you let him off with a warning for failing to
properly secure chemicals in the storage area. HALO.
You and this employee couldn’t be more different: she’s of a different race, practices a
different religion, and does not share your values. You figure if you start counseling her for
every offense she’ll finally get tired of it and quit. HORNS.
Common Mistakes
|
Failing to Act |
Failing to act --until the problem
has become serious enough to warrant disciplinary action |
|
Inconsistency |
Inconsistency --Disciplining Juan
but not John for the same problem |
|
Overacting |
Overacting --The "last
straw": after allowing a problem to continue, supervisor one day
suddenly has had enough and takes extreme action |
|
Documentation Errors |
Documentation errors Failing to: -- document
thoroughly/accurately |
|
Failing to Clarify Expectations |
Failing to communicate expectations --employee not told
what is expected, by when, or informed of consequences of failure to improve --employee not
provided with training or other support needed for improvement |
Suppose you have an employee who is a weak performer compared to your other staff, and who has committed many small 'crimes'. In the case of that one employee why would compiling lots of negative documentation, dealing with him but not with another employee, and 'kitchen sinking' be so problematic?
Let's examine a
case:
Review the following checklist, then keep it in mind as you examine the upcoming case of Jessica Jones.
|
DOCUMENTATION CHECKLIST |
Y/N |
|
Identify everyone involved by name and title |
|
|
Address the questions of who, what, when, where, and why
(include date, time, exact location, and other pertinent details) |
|
|
Document specifics such as: "John Doe, Forklift
Operator, reported to work at |
|
|
Document specific observable behavior such as "he staggered or swayed in walking, slurred when speaking, and smelled of alcohol" |
|
|
Document exact quotations, if possible, and use quotation marks when quoting precisely what was said |
|
|
Document how the incident interfered with, delayed, or disrupted the efficiency of the work production, or affected the operations of the work unit or organization |
|
|
Document whether witnesses were present to an incident and obtain a statement from them |
|
|
Cite specifically how the employee should have known of the violated conduct and responsibility regulations (i.e., prior written notices, verbal instructions, previous disciplinary action, training, bulletin board items, etc.) |
|
|
Document what the employee stated or alleged as an explanation, and state your analysis of why you believed or did not believe the employee |
|
|
State if the employee had any prior incidents of misconduct and provide all supporting documentation |
|
|
State any extenuating circumstances which may be involved (i.e., personal problems) |
|
|
|
|
|
|
|
CASE: JESSICA JONES
Effective documentation does not have to be intricate or
time-consuming. It does, however, need to be consistent and specific. Note the
items below which support the supervisor’s case. Compare this to the
‘documentation checklist’.
Has the
supervisor built a strong case?
Jessica Jones, Program Assistant IV
What
do you think? Can the supervisor support his decision to give Jessica a written
warning? Has he built a strong case?
Jessica
Jessica's supervisor has built a good case. He has provided specifics regarding the situation, clearly defined his expectations, given her the chance to improve, and counseled her extensively.
He has decided to issue a
written warning.
Warning
Letter
Components of a warning letter:
Type of action
Reason(s) for action
Timeframe for correction
Consequences of failure to improve
Appeal rights
Jessica's
warning letter:
MEMORANDUM
TO: Jessica Jones, Office Assistant III
FROM: Steve Simmons, Office Manager
DATE:
SUBJECT: WRITTEN WARNING - UNSATISFACTORY
JOB PERFORMANCE
The purpose of this letter is to give you
written warning for unsatisfactory job performance. This warning is issued
pursuant to Section 9 of the State Personnel Manual (relevant portion attached)
and the North Carolina Department of ________’s Disciplinary Action, Suspension
and Dismissal Policy and Grievance Procedures.
The specific unsatisfactory performance for
which you are being warned is excessive tardiness. On November 20,
December 15, and January 5 I talked with you about the importance of starting
work promptly. We reviewed your work schedule and I informed you on January 5
that further unapproved incidents of tardiness could result in disciplinary
action. You reported to work 2 hours late this morning.
Understanding the seriousness of your
actions is important. Such behavior must improve immediately and must
not occur again. Further such unsatisfactory job performance will result
in more serious disciplinary action up to and possibly including dismissal.
This warning will remain active in your
personnel file for 18 months. This written warning may not be appealed under
the Department's Grievance Policy. (Copy attached.) Should you have
questions regarding the policy, please contact Jane Smith, Employee Relations
Manager at (919) 700-0000.
cc:
HR Director
Employee Relations Manager
What if
warnings haven't worked?
What if
the supervisor wants to consider demotion, suspension or dismissal?
ALL other actions must be preceded
by a
pre-disciplinary conference
Prior
to the pre-disciplinary conference:
You must
give ADVANCE WRITTEN notice to the employee (at least 2 hours,
no more than 48)
Notice
should include :
· The type of action being
considered
· The meeting time and location
· The facts that led to the
recommendation
Let's
look at the case of Sam Smith, an employee with a history of assorted
performance problems:
To: Sam Smith
|
Type of action being considered |
From: Dave Jackson, Shift Supervisor
RE: Pre-Disciplinary Conference
Date:
I need to inform you that your job performance has caused me to consider demoting you. Your continuing failure to meet the expectations of the position has led me to this decision. You have repeatedly failed to submit your quarterly reports; when you have submitted them they have been late and incomplete. Your failure to follow through on the Mason case led to additional legal costs and nearly 20 hours of overtime for the office staff. Additionally, your repeated failure to return phone calls in a timely manner has led to many client complaints and additional work for other staff. We discussed these problems at 5 meetings and again during your Interim Performance Management Review.
|
Facts that led to decision |
|
Conference time and location |
The impact of the demotion on your salary grade and pay
level will be discussed. I will meet with you at
Pre-disciplinary conference
During:
People present:
--Employee
--Supervisor
--Security (if necessary)
--An additional management representative
Review the advance notice sent to the employee
Give the employee a chance to respond
Predisciplinary conference:
After:
· Review and consider employee's
response
· Make a decision through objective
analysis
· Do NOT communicate the decision to
the employee the same day as the conference,
· But do NOT wait more than 2 days
· Prepare letter stating decision
· Deliver in person or via certified
mail
· Copy to your agency's Human
Resources office
REMEMBER: A PREDISCIPLINARY CONFERENCE IS REQUIRED FOR
EVERY ACTION ABOVE A WRITTEN WARNING
To: Sam Smith
From: Dave Jackson, Shift Supervisor
RE: Notice of Demotion
DATE:
|
State change in salary and/or pay grade |
|
At least one day, but no more than 2, following pre-disciplinary conference |
Effective
|
Reasons for action |
The following reasons gave just cause for the demotion: failure to perform job duties reasonably expected of any employee in the Specialist II Classification. Repeated failure to submit reports or submit reports according to deadline and format. Repeated failure to provide adequate client services. Failure to follow up on crucial cases.
You have certain appeal rights as presented in the attachment.
|
Appeal rights |
cc Human Resources
Employee Relations Officer
What
about dismissal?
When considering dismissal, remember: (graphic of baseball player)
Dismissal requires "3 Strikes": one written warning and at least 2 other formal disciplinary actions.
Examples:
· 3 written warnings
· 2 warnings and a suspension
· 1 warning, a suspension and a demotion
|
At least one day, but no more than 2, following pre-disciplinary conference |
|
Effective date may be date of the letter OR set time within 14 days of letter of dismissal |
To: Sam Smith
From: Dave Jackson, Shift Supervisor
RE: Notice of Dismissal
DATE:
Effective
|
Reasons for action |
The following reasons give just cause for the dismissal: failure to perform job duties reasonably expected of any employee in the Specialist II Classification. Repeated failure to submit reports or submit reports according to deadline and format. Repeated failure to provide adequate client services. Failure to follow up on crucial cases.
You have certain appeal rights as presented in the attachment.
|
Appeal rights |
cc Human Resources
Employee Relations Officer
SUMMARY
It is hoped that the action you take will encourage the employee to correct the problem.
Unless you are at the point of dismissal it's important for you to continue to work with the employee to clarify expectations, establish action plans, and provide ongoing counseling and feedback.
RECAP
In this program
we've looked at:
The basics of the State's
policy on disciplinary action
The view of the discipline
process as a means of correcting rather than punishing
The importance of treating
employees fairly
Factors important in
building an effective, legally defensible case
Consequences of failing to
discipline appropriately or according to guidelines.
Final Exam
When considering disciplinary action, it is important
to think about: