Taking Disciplinary Action

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Taking Disciplinary Action
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Learning Objectives

• What you will learn
• The types of disciplinary action and ways to
  determine which ones are appropriate
• Seven Tests of Just Cause as a framework for
  disciplinary action
• Practice having investigatory conversations

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Agenda

• Introduction
• Setting the Context
• Seven Tests of Just Cause
• Case Study Investigatory Interview Practice
• Disciplinary Alternatives
• Risk Management
• Other Resources
• Keys to Taking Disciplinary Action
• Learning Review

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Core Competencies

• Key Learning Points and the Core Competencies
• Inclusiveness
• Equitable of analysis of performance
• Equitable administration of discipline
• Managing people
• Communicate performance expectations
• Provide consequences for failure to meet
  expectations
• Problem solving
• Analysis of performance problem. What is it and
  cause?
• Determine appropriate solution (training,
  coaching, discipline, etc.?)
• Communication
• Clearly communicate performance expectations
• Provide specific feedback to guide employee

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The Five Questions Employees Ask Themselves
that
Most Affect Retention

• 1. Do I know what is expected of me at work?
• 2. Do I have the resources to do my job?
• 3. Do I have the opportunity to do what I
  do best every day?
• 4. Does my supervisor, or someone, care
  about me as a person?
• 5. At work, does my opinion count?
• From the Gallup Survey of 100 Best Places to Work

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Definition of Taking Disciplinary Action

• Taking disciplinary action is an orderly process
  designed to correct performance deficiencies or
  unacceptable conduct in the workplace.
• The desired result is correction of problems and
  adherence to performance standards and work rules.

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Taking Disciplinary Action

• Guiding Principles
• In carrying out disciplinary action be sure to
• Keep the disciplinary process confidential.
• Diagnose the problem.
• Provide specific examples.
• Allow employee opportunity to explain.
• Make sure discipline is the appropriate tool.
• Make sure the punishment fits the crime.
• Provide specific recommendations for improvement.
• Communicate the consequences if performance or
  conduct does not improve.
• Discipline is to be constructive, not punishment.

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The Seven Tests of Just Cause

• 1. Reasonable Rule or Work Order
• 2. Adequate Notice
• 3. Sufficient Investigation
• 4. Fair Investigation
• 5. Proof
• 6. Equal Treatment
• 7. Appropriate Penalty

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The Seven Tests of Just Cause

• 1. Reasonable Rule or Work Order
• Is the rule clear?
• Is it applied consistently?
• What is your departments past practice for
  discipline?
• 2. Notice
• Did the employee receive notice?
• How was the employee made aware of it?
• What evidence do you have that the employee is
  aware of it?
• Has this issue been raised before?
• Prior notice may not be necessary in cases of
  serious misconduct .

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The Seven Tests of Just Cause (continued)

• 3. Sufficient Investigation
• Did you investigate performance problems as well
  as conduct issues?
• Are there witnesses?
• Are there written records, processes or
  procedures that have a bearing on the case?
• Is there equipment that should be examined?
• Do you need to call Audit and Advisory Services
  (formerly Internal Audit) or the campus police?
• Was the Weingarten right to representation
  granted?

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The Seven Tests of Just Cause (continued)

• 4. Fair Investigation
• Was the investigation prompt?
• Who should conduct the investigation?
• Should the employee remain on the work site
  during the investigation?
• Have you tried reconciling conflicting statements
  and evidence?
• Did you talk to the employee?

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Characteristics of An Effective Investigation

• Prompt
• Planned and Organized
• Thorough and Complete
• Objective
• Confidential
• Adequately Documented

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The Seven Tests of Just Cause (continued)

• 5. Proof
• Did you find proof of misconduct and performance
  discrepancy?
• Are your conclusions clearly supplied?
• Is evidence substantial?

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The Seven Tests of Just Cause (continued)

• 6. Equal Treatment
• Are work rules applied consistently?
• Are all employees held accountable?
• Have similarly situated employees (similar
  records and infractions) received the same
  discipline?
• What is your departments past practice?
• Are you disciplining the worst offenders?

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The Seven Tests of Just Cause (continued)

• 7. Appropriate Discipline
• Does the punishment fit the crime?
• Is punishment related to the employment record
  (length
• of service and performance)?
• What is employee covered by (CUE, UPTE, etc.)?

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Disciplinary Alternatives

• Oral Warning
• Written Warning
• Suspension Without Pay
• Reduction of Pay Within a Class
• Demotion to a Lower Classification
• Dismissal

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Five Steps to Meeting Skelly Requirements

• Employee performs unsatisfactorily or engages in
  misconduct
• Supervisor issues intent letter
• Intended action is reviewed at next level
• Final action is determined
• Employee is notified of final action

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Risk Management

• Release during probation
• More likely to correct unacceptable performance
• More likely to inhibit unacceptable performance
  in others
• Reduces grievances litigation
• If litigation, UC more likely to prevail

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Other Resources

• Applicable personnel policies and union contracts
• Employee Relations unit in Human Resources, or
  your representative in your shared services
  center
• Ombudspersons for staff
• CARE Services for Faculty and Staff
• University Extension ESL classes

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The KEYS

• Things a Supervisor Needs to Know
• Make decisions during probationary period
• Establish communicate clear performance
  expectations
• Make sure discipline is the appropriate tool (vs.
  coaching, etc)
• Discipline is to correct performance deficiencies
  or unacceptable conduct not to punish
• Discipline must be administered progressively
  unless it is for misconduct (e.g. theft,
  fighting, etc)
• Conduct a sufficient and fair investigation of
  performance problems as well as misconduct issues

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The KEYS continued

• Things a Supervisor Needs to Know
• Provide specific examples of performance
  deficiencies so employee understands what needs
  correction
• Make sure you are treating similarly situated
  employees equitably
• Make sure the discipline is appropriate to the
  deficiency or infraction
• Discipline is a communication tool for
  supervisors and is to be kept confidential

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On-the-Job Application Action Plan

• What do you commit to do on-the-job to integrate
  lessons learned today? Be specific.

• Action Items
• Provide an employee with constructive feedback
• Item 2
• Item 3

• Time Frame
• Within one week of this class
• When
• When

Track Series Be prepared to discuss at your
Manager Check-in Meeting and Peer Consulting
Group.