Employee safety discipline

Employee Safety Discipline and

Practices

Sometime we need to go past the time out chair

principles

Rule 1-3

• Rule 1 is there a written approved process at your work site for this

• Rule 2 are the rules and practices open and accessible to all employees

• Rule 3 are these rules signed and dated by the company CEO

• Purpose is to correctemployee’s conduct and warnthat repetition of this or similarbehavior can result indischarge.

• No disciplinary action involvingprobation, suspension ordismissal is to be taken againstany employee until disciplinaryaction discussed with HRDirector or designatedrepresentative, except when, injudgment of employee’ssupervisor, immediatesuspension is necessary toprotect safety of persons orproperty or similarly gravereason.

Disciplinary Policy/Process

• Samples of misconduct not warranting immediate discharge for first offense but disciplinary action should be taken:– Improper use of university

time

– Improper use of equipment

– Failure to follow required safety practice

– Repeated or unreported absenteeism or tardiness

– Disregard for general university policy

– Failure to report an accident


• Supervisory Responsibility

– Explain how employee has failed in meeting requirements or how conduct is unacceptable.

– Give employee a clear understanding of exact expectations and why.

– Give employee an opportunity to account for actions or lack of actions.

– Take disciplinary action if situation warrants.


All disciplinary discussions should be conducted in a climate conducive to good understanding and reasonable discussion.

Supervisors must completely document all disciplinary actions and ensure that copies (with employee’s signature acknowledging receipt) are forwarded to HR for inclusion in personnel file.


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Principles Surrounding Discipline

• Corrective

• Fair

• Consistent

• Progressive

• Due Process

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Progressive Discipline Steps

• Oral Warning

• Written Reprimand

• Suspension

• Disciplinary Demotion*

• Termination*check your organizational policies to verify this step is included in your progressive discipline process.

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Do…

• Investigate each incident regardless of how it first appears.

• Select an appropriate time & place to meet privately with the employee.

• Document!

• Allow the employee to explain his/her understanding of the incident.

• LISTEN.

• Confer with HR for their recommendations on how to proceed.

• Present the disciplinary action in a calm manner.

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Don’t …

• Yell, scream or curse.

• Base disciplinary actions on rumors.

• Discuss an employee’s performance or conduct issues with the employee’s co-workers.

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Don’t Discipline…

• Employees in public places.

• Employees in the presence of others.

• Employees in the heat of the moment.

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Before Disciplining Consider…

• The facts surrounding the incident.

• The seriousness of the infraction.

• Whether the employee was informed of the work rules in advance of the infraction.

• Whether the employee was previously advised, coached or warned about the issue.

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Did I…?

• Document the conduct or performance issue with just the facts?

• Share this documentation with the employee?

• Outline discipline appropriate to the infraction?

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The Goal of Documentation

• To inform the employee.

• To establish an official record of the disciplinary action.

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The 5 W’s of Documentation

• Who

• What

• Where

• When

• Why

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Who?

• Was/is involved?• And their position within the organization.

• Has first hand knowledge?• Are there known or potential witnesses?

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What?...

• Describe the incident or recurring issue.

• Describe the specific behavior or actions.

• Use verbs.

• Do not add your comments, insights or interpretations.

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Where?

Describe the location of the incident

• Was it on the workplace or workplace property?

• Was it on the client’s/customer’s workplace or workplace property?

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When?

Did the incident occur during

• Regular work hours?

• “Off-duty” time?

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Why?

• Don’t guess or speculate.

• Investigate and gather information.

• Include knowledge or information to support your findings/conclusions.

• Allow employees to present their version of events/infraction.

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The Document…

• Date at the top of the letter/memo.

• A statement that a copy will be placed in the employee’s personnel file only if your personnel policies call for this.

• The employee’s full and nick names.

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Start With…

• An opening statement about the purpose of the documentation.

• Proceed with statements describing and defining the infraction and supporting information. Be sure to include dates.

• DO NOT INCLUDE THE NAMES OF WITNESSES OR COMPLAINING PARTIES.

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Continue by…

• Stating and describing the disciplinary action you are recommending.

• Stating and describing reasons why you are recommending the disciplinary action.

– Reference your organizational personnel policies, handbook, or code of conduct.

Mistake no. 1

Ignoring unacceptable

behavior in hopes that:

a) no one else will notice,

b) it will correct itself, and/or

c) the employee will

eventually just go away

Mistake no. 2

Saving up a laundry list of

occurrences in hope that,

when added together, they

will justify a bigger penalty

Mistake no. 3

Applying rules inconsistently

(unfairness)

Mistake no. 4

Applying penalties

inconsistently (did I mention

fairness?)

Discipline in general

The purposes of discipline include:

1. Provide employees with adequate information about how their current performance, attendance or behavior differs from what’s expected

2. Motivate and assist employees in changing their performance, attendance or behavior

Discipline in general (cont.)

3. Enhance employee morale and performance by “showing” that inadequate performance by fellow employees won’t just be tolerated

Rule of thumb: Similarly situated employees should receive similar penalties for similar offenses. (Employees do not have to receive identical penalties, but if all relevant circumstances are similar, the penalties should be similar.)

Rule of other thumb:Major differences in situation or circumstances can justify very different penalties.

Discipline in general (cont.)

Progressive discipline

You know what it means:

A system that imposes

progressively greater

disciplinary measures upon an

employee whose performance

continues to be substandard

Progressive discipline overview (cont.)

Benefits for all:

• Gives employee direct

notice of unacceptable

conduct or performance,

and the consequences

• Gives employee an

opportunity to correct

unacceptable conduct or

performance


Benefits especially for employer:

• Gives employer assurance that it has made reasonable effort to obtain the employee’s best performance

• Gives employer a written record that will be useful in heading off or defending any arbitration or lawsuit that might result from discipline/ discharge


Disadvantages (?):

• Must be consistent

• Must have written

documentation

• Doesn’t reward

procrastination

Distinguish: Correcting vs. Counseling

• Correcting is an “FYI” factual review of a performance issue or concern, to ensure the employee understands what they did was not acceptable.

• Corrective Counseling is “more than that,” an expression of dissatisfaction with specific performance

(1) Corrective actions—types

(AGO)

1. Oral reprimand—explanation, expectation, warning (recorded)

2. Written corrective action plan-explanation, action(s), warning, acknowledged/ signed

3. Memo of concern/ counseling—not quite a reprimand

4. Written reprimand—personnel file, “grievable” by represented employees

Oral/ verbal reprimand

Oral counseling sessions

should be documented, by:

• a notation on your calendar

• an informal note in the

employee’s personnel file, or

• a regular memo to that file

When to begin Over- and under-documentation Beware hearsay (non-speaker quoted as proof of the truth of what was said)

Good documentation is:• Timely• Factual/ accurate• Clear and precise• Signed and retained


• Verbal warning – record date of warning and other pertinent information; maintain in department

• Written warning- if orally counseled more than once during 6 month period; issued by supervisor; copy forwarded to HR for personnel file

• Probation - supervisor consults withdivision head and Director of HR.Written probation letter issued toemployee outlining change in status,problems encountered and desiredcorrective action. Employee may beterminated at any time without noticeduring probationary period.

• Time Off Without Pay – Imposed separately or inconjunction with probation. Employee is facingpossible termination if performance doesn’t improve.Supervisor consults with division head and Director ofHR to determine necessity of LWOP and duration ofperiod. Letter of warning issued and copy placed inHR personnel file. Division head is final approvalauthority.

• Termination – Supervisor documents recommendationand discusses with division head; supervisor reviewscase with HR Director; HR Director reviews withdivision head. If a decision is made to terminate,division head notifies employee in writing of thedecision.

Disciplinary Process

• When immediate suspension isnecessary to protect the safety ofpersons or property or for similarreasons, supervisor directs employeeto leave the University premises atonce and either (a) report back tosupervisor the following day or (b) toremain away until further notice.

Procedures regarding Time Off WithoutPay to be followed promptly.

Disciplinary Process

At what point do you start the disciplinary process?

• Don’t wait to address the problem.

• Don’t diminish or alter responsibilities.

• Follow through on “promised” discipline.

Elements of Documentation

Produce contemporaneously with conduct

Include:

• Date of document

• Name of employee and supervisor

• Name(s) of those present at meeting

• Type of discipline

January 26, 2015

To: John Smith, Worker II

From: Tom Jones, Registrar

Re: Verbal Warning

Elements of Documentationcon’t.

• Any prior disciplinary measures taken

• Reason(s) for discipline State facts, not conclusions or assumptions Provide specific examplesInclude dates, times, location, witnesses

• Describe impact• Cite any applicable policy or

rule

Elements of Documentation,

con’t

• Any progress, or the lack of progress since last disciplinary action

• Expectation(s)

Be specific; indicate required outcomes by

specific dates if appropriate

• Periodic meetings

Elements of Documentationcon’t.

• Any corrective action taken

• Possible consequence if not corrected

• Employee’s response or comments

• Signature of employee

Provide signed copy to HR file and employee

Meetings with Employees

• Give the employee notice that work is unsatisfactory

• Counsel the employee on expected performance standards

• Offer help and assistance in meeting standards

Ask for feedback and explanation.

Document the meeting.

Document, Document, Document

Religiously make notes to file whether an employee is being disciplined or not

Stick to the facts: date, time, what happened, witnesses, discussion with employee, your response

Review and use in decisionmaking process

re: next disciplinary step

Review prior to evaluation

Keep in mind that alldocuments –including emails -are public record.

They will becomeevidence in a trial.

Can This (Employment) Relationship Be Saved?

• Could be less costly than getting a new employeeadvertising and interviewing timetraining a new employee

• Remediation / Rehabilitationmore trainingchange, within job description

• Plays well to a jury

Is Termination Appropriate?

• Have you done everything you could to have produced a different outcome?

• Have prior disciplinary steps been taken?

• Was the employee made aware of problems and possible consequences?

• Did you adequately investigate the incidents?

• Has the employee had the chance to respond?

• Have you thoroughly documented?

• Would this be consistent with prior terminations / discipline?

• Does the “punishment fit the crime”?

• Is the employee in a protected class?

• Is there any basis on which the employee could claim retaliation?

Retaliation

“It shall be an unlawfulemployment practice for anemployer to discriminate againstany of his employees…because hehas opposed any practice madean unlawful employmentpractice…, or because he hasmade a charge, testified, assisted,or participated in any manner inan investigation, proceeding orhearing [concerning such.]”

• “At-Will” Employment – mayterminate for a good reason, abad reason, a mistaken reason, orno reason at all as long as thedecision was not based on illegaldiscrimination, the exercise of astatutory or constitutional right,or contrary to public policy.

“Honest Belief” rule – statedreason is considered honestlyheld if it can be shown that theemployer honestly relied on thespecific facts it was aware of atthe time the decision to fire anemployee was made.

Doesn’t have to have beencorrect or the best decision, onlythat decision was made in goodfaith that performance wasunsatisfactory and that theasserted reason was not a merepretext for discrimination.

To contradict, employee must show pretext.

Pretext can be shown by establishing that:

- The stated reason had no basis in fact.

- The stated reason didn’t motivate the termination.

- The stated reason wasn’t sufficient to prompt the termination.

• Document the basis for recommendation to terminate

Attach prior disciplinary documents

• In termination letter, cansummarize basis for termination,but be inclusive and consistentwith prior and subsequentdocumentation.

If termination seems appropriate

• Contact HR

Keep HR in the loop during disciplinary process

• Don’t wait until the day before –or the day after

• Get the documents in order

• Don’t pull the trigger unless everything is in order and all aspects considered

On-going Evaluation and Supervision

Allows you to:

• Motivate

• Ask questions

• Praise

• Correct

• Discuss a professional development plan

• Maintain dedicated employees

What’s the best way to

avoid litigation

and defend litigation ?

DOCUMENTATION and

ACCURATE

EVALUATIONS

Employee safety discipline

Leadership & Management

Transcript of Employee safety discipline