Transcript No Slide Title

Understanding Progressive
Discipline
David Vestal
Deputy Director
ISAC
(515) 244-7181
[email protected]
CCMS Supervisors Training
Best Inns & Suites
Des Moines
June 5, 2002
Employee Discipline
Discipline refers to corrective actions
taken by a supervisor when an
employee does not abide by
organizational rules or standards.
Discipline problems come in three
categories:
Attendance - unexcused absences, chronic
absenteeism or excessive tardiness
Poor performance - failure to complete work
assignments, producing substandard work product,
failure to meet established work requirements
Misconduct - theft, insubordination, intoxication,
falsifying records
Exceptions to this at-will employment
doctrine:
1)an employee handbook;
2)a union contract;
3)promise made by the employer;
4)where public policy prohibits termination
5)an actual employment contract
6) the law protects the employee’s job
The board of supervisors has ultimate
authority over your disciplinary
policies.
Progressive Discipline
The county attempts to correct an
employee’s behavior by imposing
increasingly severe penalties for each
infraction.
Progressive discipline has definite advantages:
Reassures employees - they know where they stand
Assures employees that misconduct by other employees will
be addressed
Helps justify any employment decision
Progressive discipline also has clear disadvantages:
Difficult to administer - a lot of documentation
Requires a formal, written policy
Locks employer in to certain responses;
Alters at-will status
Progressive Discipline Must Be:
Immediate: To be accepted, discipline must
quickly follow the offense.
Understood: It is more likely that the discipline
will be seen as fair if it is proceeded by clear
warnings
Consistent: Fair treatment demands that
punishment be consistent
Impersonal: Penalties should be connected to
behavior, not the personality of the violator
Any system of discipline must include:
Rules that are work-related
Adequate notice
Timely and fair investigation
Substantial evidence
Equal treatment
Penalties in proportion to the offense
Performance Reviews
Job-related
Consistent and in a timely fashion
Focus on behaviors
Adequate Notice
Weingarten Principles:
Whenever the employee believes a meeting may lead to
discipline
Employee can request representation before or during
the meeting
After the request, the employer has three choices:
Grant the request and wait for the other employee
Deny the request and end the meeting
Give the employee the choice of ending the meeting or
proceeding without the representative
Employees must ask for their Weingarten rights.
Anderson v. Douglas and Lomason
1995 Case
Employee was fired for possessing company property
Employee sued stating that he was entitled to the
progressive discipline policy
Company had a disclaimer in employee handbook
Court’s Decision
No contract created by the handbook
Progressive discipline language was not mandatory
Employee was an employee at will
Jones v. Lake Park Care Center
1997 Case
Employee was summarily terminated
Company’s progressive discipline policy required a
written warning
Handbook was sufficiently definite to create a
contract.
She was awarded $370,000 in actual and punitive
damages
Skipping Steps
“If a problem is serious, the County may
identify the appropriate step to initiate
and not utilize the normal sequence.”
Oral Warning
Point out the unacceptable behavior
Explain the purpose for the rule
Explain how the employee’s behavior is causing
a problem
Give the employee a chance to respond
Consequences
Specific recommendations
Express confidence in the employee
Document the meeting
Written Warning
Identify your expectations
Explain the consequences of continued misconduct
Document the written warning
Employee should acknowledge it
Place a copy in the employee’s personnel file
Rules for Drafting Good Documents:
Be truthful and accurate
Review the document
Have someone else review it
Destroy all drafts
Contemporaneous is best
Memorialize earlier undocumented events
Documentation Do’s
Be Specific with words, dates and actions
State objectives for future performance
State the consequences of not improving
Have the employee sign to acknowledge receipt
Documentation Don’ts
Don’t delay in documenting the discipline
Don’t write comments that might indicate bias or
prejudice
Don’t share disciplinary information who does not
have a need to know
Don’t make accusations without proof
Suspension
Paid or unpaid suspension
This time out gives the employee the
opportunity to review his behavior
If salaried, don’t discipline by giving
unpaid time off for periods of less
than one week
Termination meetings
You should:
Prepare what you will say ahead of time
Give an adequate reason for the discharge
 Allow the employee to have his or her say
Make it clear that the decision is final
Briefly run through the benefits
Explain your county’s job reference policy
Collect county property from the employee
Termination
If terminated for reasons of dishonesty,
immorality or illegal conduct, the employee is
entitled to a “name-clearing hearing.”
A person must be notified of their opportunity
for such a hearing.
A post-termination hearing is sufficient.
Addendum
“The County reserves the right to
conduct any investigation that it deems
necessary to determine whether an
employee has engaged in conduct
warranting discipline.”