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8/8/2019 Discipline in General
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Discipline
According to Richard D Calhoon-³ A force that the
prompts individual or groups to observe the rules,regulations and procedures which are deemed to
be necessary for the effective functioning of anorganization.´
We can understand that the term (discipline)means, ³conformity & willingness to work for the
objectives of the organization, has to come from,within, though at times they may have to beimposed by an external agency.´
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Discipline in general Discipline in general
The purpose of this imposed disciplinary process isthe development & furtherance of the type of
performance from the individual worker that will be
conducive to the achievement of organization
goals.
The purposes of discipline include:
1. Provide employees with adequate information
about how their current performance, attendanceor behavior differs from what¶s expected
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2.Motivate and assist employees in changing their performance, attendance or behavior
3. Enhance employee morale and performance
by ³showing´ that inadequate performance by
fellow employees won¶t just be tolerated
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Ru le of thumb: Similarly situatedemployees should receive similar penalties for similar offenses. (Employees
do not have to receive identical penalties,but if all relevant circumstances aresimilar, the penalties should be similar.)
Ru le of other th
umb:Major differences in situation or circumstances
can justify very different penalties.
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Progressive disciplineProgressive discipline
Y ou know what it means:
A system that imposes progressively
greater disciplinary measures upon anemployee whose performance continues
to be substandard
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Progressive Discipline 3 Levels of Offenses
Group I, Group II, and Group III
Progressive Corrective Action
For initial and subsequent offenses An ³active life´ for disciplinary actions
Counseling and/or Substandard Performance
Group I Offenses ± Written Notice
Group II Offenses ± Suspension
Group III Offenses - Termination
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Group I Offenses (examples)
Inadequate or unsatisfactory job
performance
Unsatisfactory Attendance or ExcessiveTardiness
Disruptive Behavior
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Group II Offenses (examples) Failure to follow Supervisor¶s Instructions,
perform assigned work, or comply with policy
Refusal to Work Overtime
Unauthorized or Misuse of State Property or Records
Violating Safety Rules where there is not a
threat to life
Leaving the Work site during working hourswithout permission
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Group III Offenses (examples)
Falsifying Records
Absence in excess of 3 days without
proper authorization or a satisfactory
reason*
Acts of physical violence or fighting
Sleeping during working hours
Violating Safety Rules where there is athreat of physical harm
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Progressive discipline overviewProgressive discipline overview
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
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Progressive discipline overviewProgressive discipline overview
Benefits especially for em ployer :
Gives employer assurance that it has
made reasonable effort to obtain theemployee¶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
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Progressive discipline overviewProgressive discipline overview
Disadvantages (?):
± Must be consistent
± Must have written documentation ± Doesn¶t reward procrastination
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I ndiscipline
It means disorderliness, insubordinationand not following the rules & regulations of
an organization.
It is very difficult to prepare an exhaustivelist of the reasons which lead employees
to indiscipline. In fact, a number of social,
economic, cultural & political reasons
contribute to indiscipline in an
organization.
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In an organization the parties responsible for
indiscipline are workers and their unions &the mgt.
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Types of misconduct subject toTypes of misconduct subject to
disciplinediscipline Abuse of fellow employees
Conviction of a crime involving moral
turpitude [inherent baseness, depravity] Excessive tardiness or absenteeism
Gross misconduct
Incompetence
Indolence
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Inefficiency
Insubordination Malfeasance (wrongful conduct by a public
officer or in an official role)
Neglect of duty Willful violation of published employer rules
or regulations
Violation of policy
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PrePre--discipline notice &discipline notice &
conferenceconference Must notify employee & union of
contemplated discipline (exceptreprimands) & right to respond
Employee gets opportunity to respond(conference default; writing alternative)
For conference, be prepared, get to
purpose quickly. Be courteous; giveemployee fair opportunity to have his/ her say.
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Pay close attention, but don¶t argue,
apologize, or say too much. Avoidsympathetic comments that might be
distorted in later appeal (³sorry ...´).
Take notes. If the employee does not
dispute the reason, acknowledges that
performance has not been good, or makes
any other statement that supports the
contemplated action, record this. If dismissal, ask for alternatives?
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Formal disciplineFormal discipline----typestypes
1 A. Suspension² 15/30 day limits?
1B. Reduction in salary²lower step in
same range for specified time2. Demotion²to different position with
lesser salary range
3. Dismissal²as follow-up or for extremes4. Immediate dismissal²good of the service
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Common Reasons for Discipline
Time and Attendance
Marginal or unsatisfactory Performance
Behavior Problems and Insubordination
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(1) Time and Attendance
All leave, except for emergencies and
illness must be approved in advance
Scheduled Leave: ± Meetings, routine medical appointments, vacation
Unscheduled Leave: ± Illness of self or family
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(2) Why Marginal or Unsatisfactory
Performance?
Lack of communication between supervisor and
employee regarding performance expectations
Lack of necessary skill or knowledge
Lack of commitment by employee
Personal problems
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(3) Elements of Behavior Problems
and Insubordination
Was the employee actually given an order
or directive?
Was the person who gave the order
authorized to do so?
Did the employee understand that an
order was given?
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Was a deadline set for compliance and
was the time limit reasonable?
Was it reasonable for the employee to
expect penalty for failure of compliance?
Was there a clear refusal to carry out the
order?
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Decision for Discipline:Before issuing a Notice of Discipline, Human
Resources must: Decide if allegations are seriousness enough to
warrant discipline
Conduct a thorough investigation of theincidents
Interview all individuals with knowledge of an
event prior to interviewing target
Review any written policies, guidelines, etc.
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Schedule an µinterrogation¶ as defined by CB A with target individual and direct employee to
attend with right to representation
Provide and read target employee his/her rightsunder the CB A
Interrogate (interview) the target individual
Once the interrogation is concluded, decide if discipline is warranted and what an appropriatepenalty would be
Issue Notice of Discipline
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Discipline:
Arbitration Standards
Was there a rule forbidding the alleged
misconduct?
± Did the employer communicate the work rules
to the employee?
Was the rule reasonable?
± Identify legitimate justification for
insubordination if possible?
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Did the employee violate the rule?
± Evaluate the quantity and credibility of theemployer¶s evidence.
What constitutes an appropriate penalty?
± Apply standards of progressive disciplinewhen assessing penalties.
± Encourage the employee to correctinappropriate or unacceptable behavior by
means of support through managementand/or issuing an Employee AssistanceProgram if needed.
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Discipline:
Procedure Interrogate employee
Issue a Notice of Discipline containing proposed penalty
Employee has the right to grieve ± Step 1: Human Resources
± Step 2: SUNY Employee Relations
± Arbitration and/or Settlement
Upon settlement or decision, the penalty can then beimplemented
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Discipline:
Common Outcomes
Written Reprimand ± Permanent written record in personnel file
Monetary Fine
Temporary Reassignment ± Change of responsibility and job title
Suspension without pay ± Assault, theft, endangering others, antisocial behavior
Resignation/Termination ± An employee guilty of misconduct or incompetence