The Use of Counseling and Discipline to Improve Employee Productivity

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The Use of Counseling and Discipline to Improve
Employee Productivity
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Counseling vs. Discipline

• Counseling
• Face-to-face Communication
• Conducted by supervisor
• Usually, first form of action

• Discipline
• Penalization
• MUST be conducted by Human Resources
• Typically, second form of action (if counseling
  fails)

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Counseling is Not Working, Now What?

• If counseling with the employee fails, or the
  nature of offense is beyond counseling,
  disciplinary action is reviewed by Human
  Resources who will typically recommend courses of
  action

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Before Reporting to Human Resources Gather the
Facts

• What happened?
• Who was directly involved
• Did anyone witness (see and/or hear) anything?
• Was the employee asked to explain?
• List any extraordinary circumstances

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Before Reporting to Human Resources Gather the
Facts

• Should the employee reasonably have known the
  actions were wrong? How?
• Be prepared to
• discuss the employment history of the employee
• Discuss any previous counseling
• Discuss any previous discipline

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Before Reporting to Human Resources Gather the
Facts

• Be prepared to (contd)
• Define rating of performance
• Identify any other employees in the unit who have
  acted similarly? If so, when what happened?
• Discuss the impact on the immediate supervisor
  and the unit
• Provide any and all documentation and proof to
  serve as evidence

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Common Reasons for Discipline

• Time and Attendance
• Marginal or unsatisfactory Performance
• Behavior Problems and Insubordination

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Time and Attendance

• All leave, except for emergencies and illness
  must be approved in advance
• Scheduled Leave
• Meetings, routine medical appointments, vacation
• Unscheduled Leave
• Illness of self or family

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Tardiness

• Employees are expected to be at their workstation
  at the prescribed start times. Arriving late at
  the start of the day or after the lunch break,
  may constitute tardiness. Regardless of how many
  minutes.
• When known in advance, should notify supervisors
  prior to shift.
• Classified staff - if more than 7 minutes late,
  should charge accruals

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Guidelines for Dealing With Time Abuse

• Maintain and analyze attendance record
• Call-in directly to supervisor or chain of
  command
• Counsel employee when appropriate

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Guidelines for Dealing With Time Abuse

• Learn to say no to requests that reasonably
  could have been made in advance, where
  appropriate
• Consult with Human Resources for options,
  including
• Asking for documentation, and leave requests to
  be in writing

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Case Study Rhoda

• In your group, discuss the problems presented and
  the various strategies for addressing them
• How well do you think the supervisor handled the
  situation?
• How else could the supervisor have approached the
  problem?

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Why Marginal or Unsatisfactory Performance?

• Lack of communication between supervisor and
  employee regarding performance expectations
• Lack of necessary skill or knowledge
• Lack of commitment by employee
• Personal problems

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Elements of Behavior Problems and Insubordination

• Was the employee actually given an order or
  directive?
• Was the person who gave the order authorized to
  do so?
• Did the employee understand that an order was
  given?

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Elements of Behavior Problems and Insubordination

• Was a deadline set for compliance and was the
  time limit reasonable?
• Was it reasonable for the employee to expect
  penalty for failure of compliance?
• Was there a clear refusal to carry out the order?

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Case Study Rita Rite

• PART ONE
• Decide what youll say to Rita when you call her
  in to talk.
• Will you write a memo to document the discussion?
• PART TWO
• What steps should you take?

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Decision for DisciplineBefore issuing a Notice
of Discipline, Human Resources must

• Decide if allegations are seriousness enough to
  warrant discipline
• Conduct a thorough investigation of the incidents
• Interview all individuals with knowledge of an
  event prior to interviewing target
• Review any written policies, guidelines, etc.

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Decision for DisciplineBefore issuing a Notice
of Discipline, Human Resources must

• Schedule an interrogation as defined by CBA
  with target individual and direct employee to
  attend with right to representation
• Provide and read target employee his/her rights
  under the CBA
• Interrogate (interview) the target individual
• Once the interrogation is concluded, decide if
  discipline is warranted and what an appropriate
  penalty would be
• Issue Notice of Discipline

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DisciplineArbitration Standards

• Was there a rule forbidding the alleged
  misconduct?
• Did the employer communicate the work rules to
  the employee?
• Was the rule reasonable?
• Identify legitimate justification for
  insubordination if possible?

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DisciplineArbitration Standards, contd.

• Did the employee violate the rule?
• Evaluate the quantity and credibility of the
  employers evidence.
• What constitutes an appropriate penalty?
• Apply standards of progressive discipline when
  assessing penalties.
• Encourage the employee to correct inappropriate
  or unacceptable behavior by means of support
  through management and/or issuing an Employee
  Assistance Program if needed.

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Considerations for Appropriate Penalty

• Seriousness of problem or infraction
• The duration of this and/or other problems
• The frequency and nature of the problem
• Consistency in the supervision of employees
• Extenuating factors related to the problem

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Considerations for Appropriate Penalty

• The employees knowledge of the rules
• The history of the organizations discipline
  practices
• Implications for other employees
• Management banking

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DisciplineProcedure

• Interrogate employee
• Issue a Notice of Discipline containing proposed
  penalty
• Employee has the right to grieve
• Step 1 Human Resources
• Step 2 SUNY Employee Relations
• Arbitration and/or Settlement
• Upon settlement or decision, the penalty can then
  be implemented

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DisciplineCommon Outcomes

• Written Reprimand
• Permanent written record in personnel file
• Monetary Fine
• Temporary Reassignment
• Change of responsibility and job title
• Suspension without pay
• Assault, theft, endangering others, antisocial
  behavior
• Resignation/Termination
• An employee guilty of misconduct or incompetence

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Questions and Comments