1. September 18 th, 2014 Jason Banuski, PHR HR One President Senior HR Consultant 315.463.0004 peopletopayroll.com New York Statewide Payroll Conference Association The Inn on the Lake | 770 South Main Street | Canandaigua, NY 14424

2. WHO IS HR ONE CONSULTING?  An upstate New York family-run business.  Founded in 1986, HR One has become the premier human resource consulting firm in upstate New York.  Simply stated… We serve as a part-time HR department for over 400 small to midsized employers and supplement existing HR departments through projects.

3. WHO IS HR ONE? HR One Consulting, Inc. HR One, Inc. (Payroll) “Behind every paycheck is an employee, managing your employees just got easier.”

5. One Unemployment Claim Can Equal? $405 per week for 26 weeks, which totals: $10,530 ($420 10/14)

6. REDUCING UNEMPLOYMENT INSURANCE EXPOSURE

8. What Type of Discipline Should We Engage In?

9. What is Corrective Discipline? Action taken when an employee has:  Violated a rule, policy, or procedure; or  Failed to meet performance standards Corrective discipline should be used as a positive training tool to improve poor performance and help the employee succeed.

10. Corrective Discipline Misconduct or Poor Performance?

11. What is Misconduct?  An INTENTIONAL violation of a rule, policy or procedure.  Violation was NOT an accident.  Employee was in control of the situation.

12. What is Poor Performance?  Failure to adequately perform the assigned duties and responsibilities due to lack of ability, materials, or other constraints.  May or may not be “willful” behavior.  May or may not be corrected with counseling or other interventions.

13. Action Steps for Employee Improvement Misconduct: ALWAYS requires corrective discipline. May require employee to start or stop engaging in a specific behavior (i.e., stop being late or tardy, start complying with company compliance policies). Poor Performance: May require education and or retraining. May require additional tools and/or resources to enable employee to perform job. May require removing organizational barriers to achieving desired behavior. Typically requires a counseling session with clear objectives.

14. Why is the Misconduct – Poor Performance Distinction So Important?  Employees terminated for “misconduct” as defined by the Department of Labor are typically not eligible to receive unemployment insurance benefits.  Employees terminated for other than misconduct or whose termination does not rise to the statutory definition of misconduct are typically deemed eligible for unemployment insurance benefits.

15. Purpose of Corrective Discipline Identify unacceptable employee conduct or work performance. Opportunity to correct the problem and/or improve job performance. Clearly identify the consequences if the problem is not corrected by the defined time period.

16. Purpose of Corrective Discipline

17. FINGER POINTING

18. Tips to Minimize Need for Corrective Discipline  Develop Sound Policies and Procedures * Reasonable * Clear * Necessary  Use Job Descriptions

19. Accomplishing Good Corrective Discipline Conduct an Investigation as Necessary:  Talk to all witnesses – (confidential, no retaliation).  Gather and review factual information.  Obtain employee’s side of the story.

20. KNOW ALL THE FACTS … BEFORE Disciplining An Employee! (When in doubt, suspend first then act)

21. When Should Corrective Discipline Take Place? HANDLE PROMPTLY! Employee Management Problems DO NOT Go Away When They Are Ignored.

22. TYPES OF DISCIPLINE  Verbal Warning  Written Warning  Suspension  Termination

23. Importance of Documentation The burden of proof is always on the employer. It is the responsibility of the employer to prove not only that the employee did commit the violation, but that an organized and fair procedure of corrective discipline was taken.

24. Importance of Documentation  To establish an official written record of the disciplinary action.  Verifies employee heard and understood information.  Critical to establish employee position for any third party actions.  Document early. Don’t wait.

25. 5 W’s of Documentation Tell the story. Be accurate and avoid exaggerations. Avoid using inflammatory language which could lead to a discrimination or defamation claim. Do not include personal opinions or biases.

26. On Sept. 30 th, met with Joe and told him he has been late several times recently. Told him to come to work on time. The Wrong Way To Document

27. Joe has been late 3 times in the past 2 weeks. On September 17: 12 minutes; September 21: 10 minutes; September 22: 8 minutes; On 1 occasion, Joe did not call to report that he would be tardy. After each incident, I spoke with Joe about the importance of reporting to work at the assigned time and calling in with the reason for his tardiness. Joe indicated that he understood and would report to work on time in the future. The Right Way To Document

28. Corrective Action Joe must abide by Policy 701 which states that an employee is expected to be on time and ready to begin work at the start of the employee's scheduled work day. Additionally, he must abide by Policy 701 that states “An employee who is going to be tardy or who is unable to report to work must personally notify the employee's supervisor at least 30 minutes before the employee’s scheduled starting time and state the reason for the tardiness.”

29. Conducting the Disciplinary Meeting  Be prepared.  Choose a private location.  Have a witness, manager if possible.  Focus on correcting the problem, not the employee.  Be specific and give examples.  Get employee’s side of the story.  Provide opportunity to respond.

30. The Disciplinary Form

31. Questions?