understanding progressive discipline david vestal deputy director isac (515) 244-7181...
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Understanding Progressive Discipline
David VestalDeputy DirectorISAC(515) [email protected]
CCMS Supervisors TrainingBest Inns & SuitesDes MoinesJune 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 termination5)an actual employment contract6) 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 employeeDeny the request and end the meetingGive 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.”