The Disciplinary Process

Counseling and Disciplining Employees

Purpose of Discipline


Employees are expected to conduct themselves in accordance with generally acceptable work behaviors. Supervisors are expected to set an example by their conduct, attitude and work habits. Disciplinary actions are imposed to correct inappropriate work behaviors and to ensure fairness and consistency.

Why We Don t Discipline



Don t know how to get started Don t know how to document Don t know what to say Easier to ignore the problem

Getting Started


Know the Policies and Procedures

  

Disciplinary Policy 400.08 Progressive Disciplinary System Department reserves the right to impose any type of disciplinary action for any offense

Contact OHR prior to imposing disciplinary action

Types of Disciplinary Actions

      

Counseling Session Level I Reprimand Level II Reprimand Suspensions Demotions Involuntary Reassignments Terminations

Counseling Session


Optional, informal level of disciplinary action Generally used for first time, minor offenses Must be documented for Early Warning System Will not become part of the employee s personnel file

Counseling
 

    

Takes place when a problem arises Questioning the employee to identify problem: execution v. comprehension Emphasis is on listening to the employee Define what is expected v. what is happening Discuss solutions Discuss consequences Document

Level I Reprimand


 

 

Generally the first formal level of disciplinary action for first occurrence, minor infractions Memorandum from Deputy Director Not grievable Employee may prepare rebuttal for file Will become part of official personnel file Effective for one year from date employee receives reprimand May request removal from file after one year

Level II Reprimand
 

 

Usually the second step in the progressive disciplinary procedure Typically imposed for second occurrence of a previous infraction but may be imposed for a first occurrence of a more severe nature Memorandum from Deputy Director Not grievable Employee may prepare rebuttal Effective for one year for progressive purposes/Cannot remove from file

Suspensions


   

Generally the third step in the progressive disciplinary process (however, may be warranted for a first or second offense depending on severity of infraction) Suspensions are without pay Letter from the Director Grievable for covered employees Effective for two years for progressive purposes Administrative Suspensions

Other Disciplinary Actions



Demotions only grievable if demoted in pay band Involuntary reassignments may be grievable, if over 30 miles from prior work station unless it is nearest facility with an available position Terminations may be the first or the final step based on severity of infraction

Questions to Consider before taking formal disciplinary action



Does documentation support the decision? Is the disciplinary action consistent with departmental policy? Has the department provided the employee the opportunity to correct and/or improve on the problem?

Questions to Consider before taking formal disciplinary action



Has the department ever treated any similarly-situated employee differently? Has the employee recently participated in some type of protected activity? If the disciplinary action was based on a violation of policy or procedure, can the department prove that the employee received actual notice of the policy or procedure?

Questions to Consider before taking formal disciplinary action



Is the employee temporary, probationary, or covered? Would a neutral third party believe that the department had legitimate, nondiscriminatory reasons for disciplinary action and that it treated the employee fairly?

Preliminary Steps


Obtain pre-review from Human Resources Complete Request for Corrective Action Attach supporting documentation Disciplinary Review Committee

Steps for Imposing Action

 

 

State purpose of meeting Point out specific problem and discuss previous conversations about problem Address actions that employee had agreed to take and status of those actions Allow the employee to express views Explain why this is a problem for the department

Steps for Imposing Action



 

Explain the disciplinary action and the consequences if it happens again. Refer the employee to any support organizations. Restate the desirable behavior that is expected. Stress the employee s assets and strengths. Monitor and follow-up.

Proper Documentation


All disciplinary actions must be supported by proper documentation. Remember the saying If it wasn t documented, it didn t happen. Disciplinary memorandums and letters must be signed by the employee. If employee refuses, supervisor will have another supervisor or manager sign to witness employee refused to sign.

Proper Documentation


A copy of the disciplinary action should be given to the employee. The original is forwarded to Human Resources. If grievable action, ensure that employee receives a copy of Grievance Procedure Policy 400.10.

Key Points


Avoiding employee problems leads to long-term problems for employee, coworkers, supervisor, and department. Counseling employees that have problems is part of your role as a supervisor.