KEYSKeys to Enhance Your Supervisory Success

Taking Disciplinary Action

KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley

KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley

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

KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley

Agenda

Introduction Setting the ContextSeven Tests of Just CauseCase Study – Investigatory Interview PracticeDisciplinary AlternativesRisk ManagementOther ResourcesKeys to Taking Disciplinary ActionLearning Review

KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley

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

KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley

The Five Questions Employees Ask Themselves The Five Questions Employees Ask Themselves that Most Affect Retention 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

KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley

Definition of “Taking Disciplinary Action”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.

KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley

Taking Disciplinary ActionTaking Disciplinary Action

Guiding PrinciplesGuiding 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.

KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley

KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley

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

KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley

The Seven Tests of Just Cause

1. Reasonable Rule or Work OrderReasonable Rule or Work Order

Is the rule clear? Is it applied consistently? What is your department’s past practice for discipline?

2. Notice2. 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 .

KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley

The Seven Tests of Just Cause (continued)(continued)

3. Sufficient InvestigationSufficient 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?

KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley

The Seven Tests of Just Cause (continued)(continued)

4. Fair InvestigationFair 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?

KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley

Characteristics of An Effective Investigation

Prompt

Planned and Organized

Thorough and Complete

Objective

Confidential

Adequately Documented

KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley

The Seven Tests of Just Cause (continued)(continued)

5. Proof5. Proof

• Did you find proof of misconduct and performance discrepancy?

• Are your conclusions clearly supplied?

• Is evidence substantial?

KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley

The Seven Tests of Just Cause (continued)(continued)

6. Equal Treatment6. 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 department’s past practice?

• Are you disciplining the worst offenders?

KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley

The Seven Tests of Just Cause (continued)(continued)

7. Appropriate Discipline7. 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.)?

KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley

Disciplinary AlternativesDisciplinary Alternatives

Oral Warning

Written Warning

Suspension Without Pay

Reduction of Pay Within a Class

Demotion to a Lower Classification

Dismissal

KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley

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

KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley

Risk Management

Release during probationMore likely to correct unacceptable

performanceMore likely to inhibit unacceptable

performance in othersReduces grievances & litigationIf litigation, UC more likely to prevail

KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley

Other ResourcesOther 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

KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley

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

KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley

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

KEYS – Keys to Enhance Your Supervisory SuccessUniversity of California, Berkeley

On-the-Job Application Action Plan

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

Action Items1. Provide an employee with

constructive feedback

2. Item 23. Item 3

Time Frame1. Within one week of this class

2. When3. When

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