The Use of Counseling

and Discipline to
Syam Kumar Vanamali
Improve Employee
Productivity

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)

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

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

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

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

Common Reasons for Discipline

Time and Attendance

Marginal or unsatisfactory
Performance

Behavior Problems and

Insubordination

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

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

Guidelines for Dealing With Time

Abuse

Maintain and analyze attendance

record

Call-in directly to supervisor or chain

of command

Counsel employee when appropriate

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

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

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?

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?

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?

Decision for Discipline:

Before 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.

Decision for Discipline:

Before issuing a Notice of Discipline, Human
Resources must:

Schedule an interrogation with

target individual and direct employee
to attend with right to representation

Provide and read target employee

his/her rights

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

Discipline:
Arbitration 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?

Discipline:
Arbitration 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.

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

Considerations for Appropriate

Penalty

The employees knowledge of

the rules

The history of the organizations

discipline practices

Implications for other employees

Management banking

Discipline:
Procedure

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

Discipline:
Common Outcomes

Written Reprimand

Permanent written record in personnel file

Monetary Fine

Temporary Reassignment

Suspension without pay

Change of responsibility and job title

Assault, theft, endangering others, antisocial

behavior

Resignation/Termination

An employee guilty of misconduct or

incompetence

Thank you!