April 2008
CHIEF OF LABOR RELATIONS CORNER
The Disciplinary Process
This month’s article deals with the topic of discipline. It has been my experience that discipline cases cause concern for everyone involved. That being said, I have provided the following outline on how a proper disciplinary process functions.
To begin with, there is a general principle that management has the right to run an orderly and profitable business. When employees are hired, they are expected to assist management in that endeavor. When those expectations are not met and the employee engages in misconduct or poor work performance, managers have the responsibility to try to change the behavior so that the employee becomes an effective and productive part of the work force.
Before going any further with this topic, it is important to define discipline. In our context, discipline refers to corrective actions taken by a supervisor or the County when an employee does not abide by organizational rules or standards.
Discipline problems come in three categories:
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Attendance – unexcused absences, chronic absenteeism or excessive tardiness.
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Poor performance – failure to complete work assignments, producing substandard work product, failure to meet established work requirements.
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Misconduct – theft, insubordination, intoxication, falsifying records, discrimination, harassment, violence, and threats.
Any system of discipline must include:
- Rules that are work-related
- Adequate notice of the employer’s work rules and expectations, as well as consequences of violating the rules
- Timely and fair investigation of incidents or charges
- Substantial evidence that the employee was guilty of the offense.
- Equal treatment characterized by even-handed application of rules
- Penalties in proportion to the offense and the work record
If any of these elements is not present, an employee can argue that the County did not have “just cause” to take the disciplinary action.
Elements that are found in a “fair” discipline system:
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Have a clear understanding of the purpose of the discipline policy.
Policies designed to punish will correct behavior on a short-term basis and are more likely to be perceived as unfair by employees. However, employees working under a system designed to educate and correct behavior on a long-term basis will view the policy as fair, which in turn, will help increase productivity and morale.
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Follow a progressive system.
Progressive discipline goes hand-in-hand with policies set up to educate because the progression is aimed at rehabilitation by gradually increasing the severity of punishment with each violation of the work rules. An example of a typical progression would include the following:
- Oral warnings
- Written warnings
- Suspension
- Termination
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Communicate the policy to employees both before and after implementation.
There are two aspects of communication: Informing employees of the discipline policy and creating an atmosphere that allows supervisors and employees to learn from the discipline process.
- Employees must be aware that a policy exists and how it will be implemented. If employees are uninformed, they will view any disciplinary action as unfair and arbitrary.
- Employees must realize that certain behavior is unacceptable and understand what behavior is expected of them. Equally important, supervisors can learn the underlying causes of certain behavior and then work with the employee to remedy the situation. Policy can be reinforced by reviewing future consequences of repeated behavior.
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Each step must be followed strictly.
Inconsistencies compromise the value of the policy and open the door to legal action by employees. An employer should communicate with their workforce and work together to resolve destructive behavior that will adversely affect the productivity of your organization.
Proper Documentation:
Documentation as it is defined in the progressive discipline process, is far more reaching than the employee’s current alleged misconduct. While it is obvious to document the incident that gives rise to possible disciplinary action, it is less obvious to maintain accurate and up-to-date records of the employee’s work performance. Such records can help supervisors in evaluating and coaching the employee and/or may later be utilized in disciplining the employee for poor work performance.
Proper documentation is crucial in the application of progressive discipline. Supervisors often start the documentation process too late. If the current misconduct is not so egregious that it justifies a severe penalty by itself, then it would be too late, in most cases, to start the documentation process with a long-term employee.
Documentation encompasses the establishment and maintenance of the employee’s employment record with the County. Such documentation should include:
- Signed acknowledgements of receipt of the County’s policy and procedure manuals, and the department’s standards of performance.
- Performance appraisals
- Attendance records
- Letters of commendation
- Letters of reprimand
- Memos commemorating counseling sessions
In defending a disciplinary case, the County shoulders the burden of proof. They must show that the employee performed poorly or committed the offense and the imposed discipline was appropriate. The degree of proof correlates with the nature of the misconduct, the severity of the discipline, and the employee’s overall employment record with the company.
West Valley Staffing Level Grievance moves to Arbitration
The grievance SEBA filed regarding the implementation of a reduction of staffing levels at West Valley Detention Center, is set to go to arbitration on June 2bd and 3rd 2008 before arbitrator Howard Block. I will keep you updated as events occur.
If you have any questions about this article send me an email at meagleson@seba.biz or call me at the SEBA office.
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