Conducting Disciplinary Meetings and Investigations

1
Conducting Disciplinary Meetings and
Investigations

• Presented to Area and Environmental Services
  Supervisors
• May 23, 2005
• By Ken Korbich and Susan Rutan

2
Topics

• Intent of the disciplinary meeting
  investigation
• Contractual Background
• Disciplinary Meeting Process
• Employee Responses to Disciplinary Actions

3
The intent of the disciplinary meeting/investigato
ry process

• To gather information needed before making
  decisions
• To understand the employees side of the story
• To make an overall assessment of the situation in
  order to make a decision

4
Contractual Background

• Article VI of the University/Union contract we
  have the right to discipline and discharge
  employees for just cause
• Meeting between employee and supervisor should be
  held as soon as practicable.
• Have the steward (or alternate steward) present
  unless declined by employee
• Inform the employee that it is a disciplinary
  meeting
• Tell the employee that a warning letter will be
  issued or that a decision will be made after an
  investigation of no more than 7 days

5
Disciplinary Meeting Process

• Preparing for the meeting
• Holding the meeting
• Discussion additional investigation
• Notification of decision
• Issuing documentation

6
Preparing for the Meeting

• Make notes of any facts you have
• Discuss situation with supervisor, manager,
  and/or HR if necessary
• Develop questions you will need to ask (see next
  slide)
• Rehearse questions and scenarios - optional
• Schedule the meeting so another supervisor can
  attend
• Contact the steward with the date, time and
  location of the meeting

7
Developing Questions

• Remember that you are trying to find out what
  happened
• Start with open-ended questions that do not
  reveal what you know
• Ask questions one at a time not compound
  questions
• Keep in mind the basic 5 types of questions
  (who, what, where, when, and why).
• Try to structure questions chronologically based
  on what you know
• Ask follow-up questions based on what the
  employee says in response to your planned
  questions

8
Holding the Meeting

• Gather employee, Union Steward, and other
  supervisor(s) in private location
• Open meeting by reading the Miranda card
• Invoke the 7 day investigatory period unless
  instructed differently by HR
• Ask prepared questions and document
  answers/comments additional supervisor should
  document everything
• Immediately after meeting review and make
  additional notes discuss notes and comments with
  any other management personnel present at meeting

9
Discussion Additional Investigation

• As soon as possible after the initial meeting
  (i.e. the next day OR SOONER!), provide details
  to supervisor, manager, and HR
• Discussion of incident and possible actions will
  ensue
• Gather additional facts/info if necessary
• If necessary, hold additional investigatory
  meeting with employee
• In consultation with manager and HR, determine
  action, i.e. verbal reprimand letter of
  conversation or warning letter

10
Notification of Decision

• Within 7 days of initial meeting, employee must
  be notified of action that will be taken
• Hold final disciplinary meeting with employee and
  Union Steward to conclude investigatory period
  and notify employee of action
• Notify HR when meeting was held and who was
  present

11
Issue Documentation

• Warning letters must be issued within 3 days of
  notifying employee of decision
• Letters of conversation are not bound by any time
  limit but should still be timely
• Discuss documentation and any stipulations/rules/e
  xpectations with employee
• Present letter for signature employee,
  supervisor, and HR each get a copy
• Employee refuses to sign sign, date and
  document employees refusal on letter

12
Employee Responses to Disciplinary Action

• Written rebuttal should be presented to
  supervisor and then sent to HR to be placed in
  employees personnel file
• Grievance
• First step is verbally presented to supervisor.
  Immediately fill out first step grievance form
  and notify HR. HR will discuss how you should
  answer grievance. Resolution or denial must be
  given within 3 days.
• If not resolved, employee may file second step
  grievance. Presented in writing to supervisor
  who must submit signed second step grievance form
  to HR. Grievance hearing with Union and
  Management will then be scheduled.

13
Conclusion

• Demonstration
• Any final questions?