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

2. Counseling vs. Discipline Counseling Face-to-face Communication Face-to-face Communication Conducted by supervisor Conducted by supervisor Usually, first form of action Usually, first form of actionDiscipline Penalization Penalization MUST be conducted by Human Resources MUST be conducted by Human Resources Typically, second form of action (if counseling fails) Typically, second form of action (if counseling fails)

3. 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 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

4. Before Reporting to Human Resources: Gather the Facts What happened? What happened? Who was directly involved Who was directly involved Did anyone witness (see and/or hear) anything? Did anyone witness (see and/or hear) anything? Was the employee asked to explain? Was the employee asked to explain? List any extraordinary circumstances List any extraordinary circumstances

5. Before Reporting to Human Resources: Gather the Facts Should the employee reasonably have known the actions were wrong? How? Should the employee reasonably have known the actions were wrong? How? Be prepared to : Be prepared to : discuss the employment history of the employee discuss the employment history of the employee Discuss any previous counseling Discuss any previous counseling Discuss any previous discipline Discuss any previous discipline

6. Before Reporting to Human Resources: Gather the Facts Be prepared to (cont’d): Be prepared to (cont’d): Define rating of performance Define rating of performance Identify any other employees in the unit who have acted similarly? If so, when & what happened? 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 Discuss the impact on the immediate supervisor and the unit Provide any and all documentation and proof to serve as evidence Provide any and all documentation and proof to serve as evidence

7. Common Reasons for Discipline Time and Attendance Time and Attendance Marginal or unsatisfactory Performance Marginal or unsatisfactory Performance Behavior Problems and Insubordination Behavior Problems and Insubordination

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

9. 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. 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. When known in advance, should notify supervisors prior to shift. Classified staff - if more than 7 minutes late, should charge accruals Classified staff - if more than 7 minutes late, should charge accruals

10. Guidelines for Dealing With Time Abuse Maintain and analyze attendance record Maintain and analyze attendance record Call-in directly to supervisor or chain of command Call-in directly to supervisor or chain of command Counsel employee when appropriate Counsel employee when appropriate

11. Guidelines for Dealing With Time Abuse Learn to say “no” to requests that reasonably could have been made in advance, where appropriate Learn to say “no” to requests that reasonably could have been made in advance, where appropriate Consult with Human Resources for options, including: Consult with Human Resources for options, including: Asking for documentation, and leave requests to be in writing Asking for documentation, and leave requests to be in writing

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

13. Why Marginal or Unsatisfactory Performance? Lack of communication between supervisor and employee regarding performance expectations Lack of communication between supervisor and employee regarding performance expectations Lack of necessary skill or knowledge Lack of necessary skill or knowledge Lack of commitment by employee Lack of commitment by employee Personal problems Personal problems

14. Elements of Behavior Problems and Insubordination Was the employee actually given an order or directive? Was the employee actually given an order or directive? Was the person who gave the order authorized to do so? Was the person who gave the order authorized to do so? Did the employee understand that an order was given? Did the employee understand that an order was given?

15. Elements of Behavior Problems and Insubordination Was a deadline set for compliance and was the time limit reasonable? 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 it reasonable for the employee to expect penalty for failure of compliance? Was there a clear refusal to carry out the order? Was there a clear refusal to carry out the order?

16. Case Study: Rita Rite PART ONE Decide what you’ll say to Rita when you call her in to talk. Decide what you’ll say to Rita when you call her in to talk. Will you write a memo to document the discussion? Will you write a memo to document the discussion? PART TWO What steps should you take? What steps should you take?

17. Decision for Discipline: Before issuing a Notice of Discipline, Human Resources must: Decide if allegations are seriousness enough to warrant discipline Decide if allegations are seriousness enough to warrant discipline Conduct a thorough investigation of the incidents Conduct a thorough investigation of the incidents Interview all individuals with knowledge of an event prior to interviewing target Interview all individuals with knowledge of an event prior to interviewing target Review any written policies, guidelines, etc. Review any written policies, guidelines, etc.

18. Decision for Discipline: Before 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 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 Provide and read target employee his/her rights under the CBA Interrogate (interview) the target individual Interrogate (interview) the target individual Once the interrogation is concluded, decide if discipline is warranted and what an appropriate penalty would be Once the interrogation is concluded, decide if discipline is warranted and what an appropriate penalty would be Issue Notice of Discipline Issue Notice of Discipline

19. Discipline: Arbitration Standards Was there a rule forbidding the alleged misconduct? Was there a rule forbidding the alleged misconduct? Did the employer communicate the work rules to the employee? Did the employer communicate the work rules to the employee? Was the rule reasonable? Was the rule reasonable? Identify legitimate justification for insubordination if possible? Identify legitimate justification for insubordination if possible?

20. Discipline: Arbitration Standards, cont’d. Did the employee violate the rule? Did the employee violate the rule? Evaluate the quantity and credibility of the employer’s evidence. Evaluate the quantity and credibility of the employer’s evidence. What constitutes an appropriate penalty? What constitutes an appropriate penalty? Apply standards of progressive discipline when assessing penalties. 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. Encourage the employee to correct inappropriate or unacceptable behavior by means of support through management and/or issuing an Employee Assistance Program if needed.

21. Considerations for Appropriate Penalty Seriousness of problem or infraction Seriousness of problem or infraction The duration of this and/or other problems The duration of this and/or other problems The frequency and nature of the problem The frequency and nature of the problem Consistency in the supervision of employees Consistency in the supervision of employees Extenuating factors related to the problem Extenuating factors related to the problem

22. Considerations for Appropriate Penalty The employee’s knowledge of the rules The employee’s knowledge of the rules The history of the organization’s discipline practices The history of the organization’s discipline practices Implications for other employees Implications for other employees Management banking Management banking

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

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

25. Questions and Comments