Conducting EffectiveEmployee Progressive

Disciplineutilizing

FRISK & SKELLY

Conducting EffectiveEmployee Progressive

Disciplineutilizing

FRISK & SKELLY

Attitude toward Discipline Attitude toward Discipline

Disciplining employees does not need to be a tense, nerve-wracking confrontation for supervisors and

employees.

What is Progressive Discipline?What is Progressive Discipline?

An approach to dealing with performance and personnel issues. Founded on the premise that the actions taken are:

Corrective rather than punitive

Progressively more severe

Appropriate to the nature of the problem

General Sequence ofProgressive DisciplineGeneral Sequence ofProgressive Discipline

Counseling

Reprimand

Disciplinary Action

Steps may be repeated before moving to the next level. Severe misconduct can result in immediate disciplinary action.

Components of Progressive DisciplineComponents of Progressive Discipline

Establishment and dissemination of clear, understandable policies, procedures, rules, instructions and performance standards

Giving advance warning of the consequences of violations or deficiencies

Consideration of an employee’s explanation of the circumstances in determining the action taken

Four Rules of Progressive DisciplineFour Rules of Progressive Discipline

1. Make sure to spell out to the employee exactly what the problem is with his/her performance;

2. Make sure the employee understands what s/he must do to fix the problem;

3. Provide the employee with a reasonable period of time to fix the problem; and

4. Ensure the employee understands the consequences of inaction.

Progressive Discipline DocumentationProgressive Discipline Documentation

Informs employees of acceptable behavior

Demonstrates management’s good faith effort to help correct unacceptable behavior

Justifies more serious penalties

Establishes pattern of recurring performance deficiencies

Human Resources RoleHuman Resources Role HR should be consulted on all issues related to

employee performance, employee status and interpretation and application of the collective bargaining agreements for employees.

The HR Director or Assistant HR Director should be consulted when disciplinary actions are contemplated to assure that appropriate actions are taken.

When it becomes necessary for disciplinary action to be imposed, the type and degree of discipline taken is determined by the appropriate supervisor or manager in consultation with the HR Director or Assistant HR Director.

All disciplinary actions are subject to due process prior to their implementation.

What is Disciplinary Action?What is Disciplinary Action?

A disciplinary action is asuspension, demotion or dismissal.

Letters of reprimand, counseling and warnings are pre-discipline measures,

and are not considered formal disciplinary actions.

Degree of DisciplineDegree of Discipline

INTENT: What was the employee’s intention when the violation was committed? Was it a willful act or a result of carelessness and inattention?

NUMBER OF OCCURANCES: How many times has the problem occurred?

PREVIOUS CORRECTIVE MEASURES: What past measures have been taken in an attempt to correct the problem?

TIME FRAME: Has the problem occurred frequently within a relatively short time?

The degree of discipline is dependent upon several factors which must be taken into consideration:

Components of Just CauseComponents of Just Cause

Performance problem(s) clearly described in a specific, factual manner.

Clearly informing employee of required standards of behavior and performance.

Giving fair warning to employee of the consequences of continued poor performance or misbehavior.

Providing reasonable time and fair opportunity to improve.

Components of Just Cause – Con’tComponents of Just Cause – Con’t

Providing adequate assistance and direction to employee.

Showing that conduct has a direct adverse impact on the job.

Making sure the performance problem(s) and record warrant the proposed disciplinary action.

Giving the employee the opportunity to receive and respond to derogatory documentation placed in personnel file.

FRISKFRISK

Facts - of employee’s unsatisfactory conduct

Rule - or authority violated by the conduct Impact – of the unsatisfactory conduct on

the District

Suggestions/Directions for Improvement – to assist employee in understanding proper conduct expected in future

Knowledge – of employee’s right to respond to derogatory information placed in the personnel file (Education Code, Section 87031)

FRISK Documentation ModelFRISK Documentation Model

Primary Objectives Identify legally sufficient

documentation Simplify the process by establishing a

common framework

Document Composition Document Selection Document Quantity

FRISK Model: The Progressive Discipline Process

FRISK Model: The Progressive Discipline Process

Oral Warning/Oral Warning/ConferenceConference

Letter ofLetter ofReprimandReprimand

UnsatisfactoryUnsatisfactoryEvaluationEvaluation

Next step afteroral warning when

employee repeats sameunsatisfactory conduct

Evaluatorshould startat the first

stepwheneverpossible

To be used whenwarranted by nature

of offense

SuspensionSuspensionWithout PayWithout Pay

WrittenWrittenWarningWarning

DismissDismissalal

Should be given only after the

employee has received both an oral and

written warning

Final and most

severe step in

the process

Evaluatorshould

formally document

unsatisfactory performance

Deciding on Whether to Take Disciplinary ActionDeciding on Whether to Take Disciplinary Action

When deciding whether or not to take disciplinary action, consider the following:

The circumstances surrounding the violation

The seriousness of the employee’s action and the effect of the action

The employee’s intent

The degree of disciplinary action taken in prior similar situations

Causes for Disciplinary ActionCauses for Disciplinary ActionCauses for dismissal, demotion, or suspension (Education Code, Section 89535). Any permanent or probationary employee may be dismissed, demoted or suspended for the following causes:

• Immoral conduct

• Unprofessional conduct

• Dishonesty

• Incompetency

• Addiction to the use of controlled substances

• Failure or refusal to perform the normal and reasonable duties of the position

• Conviction of a felony or conviction of any misdemeanor involving moral turpitude

• Fraud in securing appointment

• Drunkenness on duty

Impact of Employee Status on Disciplinary Action DecisionsImpact of Employee Status on Disciplinary Action Decisions

The causes for dismissal, demotion, or suspension listed in Education Code, Section 89535 are legal conclusions which must be supported by specific evidence which establishes that certain factual events have occurred.

While the principals of progressive discipline are the same for temporary, probationary and permanent employees, the employee’s status may affect how the procedures are applied.

A probationary employee (serving a specified period of probation in a classification) who’s performance warrants disciplinary action can, and depending on the severity of the situation, should be rejected during probation.

For a temporary employee (serving with a specified end date and not granted permanent status), the due process requirements are not as stringent with regard to continued employment because the employment may be terminated prior to the specified end date when appropriate notification is given.

A permanent employee (has served and completed a period of probation in a particular classification) has status which grants him/her the right of continued employment unless the employee is terminated for “just cause”, lack of work or lack of funds.

Counseling/Verbal DiscussionsCounseling/Verbal Discussions

Documentation should begin as soon as the supervisor or manager first notices a situation that may require corrective action. The goal of meeting with the employee is to establish a clear understanding of the problem(s) and of the supervisor’s expectations.• Determine the specific problem(s);

• Discuss the problem(s) with the employee;

• Identify possible solutions and outcomes;

• Agree on a specific plan of action; and

• Set a specific timeline for follow-up.

Subsequent to the meeting, the substance of the meeting should be documented in writing and a copy given to the employee as a record of what was discussed.

Written ReprimandWritten Reprimand

The counseling session with the employee serves as a forum to identify the employee’s areas of difficulty and to clarify the supervisor’s expectations of the

employee.

However, if the employee fails to correct his/her performance deficiencies, a written reprimand is

normally the first step in officially documenting the problem.

The written reprimand takes the form of a letter or memorandum in a specific format.

Writing the Letter of ReprimandWriting the Letter of Reprimand

Formally recognizes that a performance problem exists and sets forth action for the employee to take to avoid future difficulties.

Document is prepared by the employee’s supervisor.

Prior to issuance, the supervisor should review it with his or her manager/supervisor and Human Resources.

Components of the Letter of ReprimandComponents of the Letter of Reprimand

Reason for Reprimand

The Specific Nature of the Problem

Statement of Employee’s Rights

Summary of Specific Rule orPolicy Violated

Review of Past Corrective Measures

Statement of Future Action if NoImprovement is Made

Employee SignatureAcknowledging Receipt of Letter

Writing the Letter of ReprimandWriting the Letter of Reprimand

Should contain the following:

Be labeled as a reprimand

The reason for the reprimand

The specific nature of the failure (i.e. poor attendance, habitual tardiness, failure to meet deadlines, etc.)

A review of what corrective measures have been taken by the supervisor up to this point

A statement of specific rules or policies violated, as well as a statement of what is expected of all employees, especially the employee receiving the reprimand

A statement of possible future actions against the employee if s/he fails to improve or meet expected standards. Clearly indicate imposed time requirements for employee improvement.

A signature line for the employee’s signature with a statement that the employee acknowledges receipt of the reprimand.

Discussing the ReprimandDiscussing the Reprimand

A meeting should be conducted in conjunction with the issuance of a written reprimand.

The meeting should focus on answering any questions the employee may have.

The supervisor should discuss the reprimand with the employee to ensure that the employee clearly understands the reason for the action.

The employee has a right to request that his or her representative be present at a meeting which the employee reasonably believes might result in adverse action against him/her.

“Weingarten Rights”“Weingarten Rights”

In NLRM v. J. Weingarten, Inc. (1975), the U.S. Supreme Court established that an employee who reasonably believes that an investigatory meeting may lead to a disciplinary or adverse action has the right to Union representation.

An employee cannot be penalized An employee cannot be penalized for exercising this right.for exercising this right.

Weingarten Rights are not applicable in routine discussions involving normal work instructions or procedures.

Employee RightsEmployee Rights

After receiving a written reprimand, the employee may exercise his/her rights as follows:

1. The employee, upon request, has the right to meet with the

supervisor or manager to discuss the reprimand.

2. The employee has a right to be represented at the meeting by an individual of his or her choice.

3. The employee must receive a copy of the reprimand prior to its placement in the official personnel file.

4. The employee has the right to submit a rebuttal statement that will be attached to the reprimand in the personnel file.

5. Upon the employee’s request and in accordance with provision of the collective bargaining agreements, the reprimand subsequently may, but not necessarily will, be removed from the official personnel file.

John F. Skelly v. State Personnel Board Supreme Court of California (1975)

John F. Skelly v. State Personnel Board Supreme Court of California (1975)

The California Supreme Court found that public employees had “property rights” in employment that equated to an implied contract of continued employment unless just cause was demonstrated.

John F. Skelly v. State Personnel Board John F. Skelly v. State Personnel Board

Case argued that degree of punitive action – in this case – wrongful dismissal, taken against “permanent civil service employees violates the due process clauses of the Fifth and Fourteenth Amendments to the US Constitution and article 1, sections 7 and 15 of the California Constitution”

John F. Skelly v. State Personnel Board John F. Skelly v. State Personnel Board

The Skelly decision required public employers to provide certain safeguards before imposing disciplinary actions on employees.

In particular, the decision requires that an employee be given the opportunity to know the basis for the disciplinary action, and to have the action reviewed prior to the sanction being imposed.

John F. Skelly v. State Personnel Board John F. Skelly v. State Personnel Board

1. The procedure used by the State Personnel Board denied him due process of law; and,

2. The penalty was clearly excessive and disproportionate to the misconduct on which it was based.

The Supreme Court of California ruled that the State Personnel Board clearly abused its discretion in subjecting Skelly to the most severe punitive action possible for his misconduct.

Skelly’s dismissal was ruled improper for two reasons:

Sufficient Just CauseSufficient Just Cause

• Was the employee forewarned of the consequences of his/her actions?

• Is the rule or standard of conduct which has been transgressed reasonable?

• Was sufficient effort made before discipline was recommended to determine guilt?

• Was the investigation conducted fairly and objectively?

• Does substantial evidence of the employee’s guilt exist?

• Are the rules of conduct applied fairly and without discrimination?

• Is the degree of discipline recommended reasonably related to the seriousness of the offense?

Our ChallengeOur Challenge

“To create a performance management process that is a model for excellence within the California Community College

system”

What do we need from Administrators and Managers?What do we need from Administrators and Managers?

Willingness to:

Understand and follow the FRISK & Skelly guidelines for all disciplinary issues

Shift thinking to focus on results rather than effort

Provide feedback/share successes and lessons learned with one another

Willingness to:

Understand and follow the FRISK & Skelly guidelines for all disciplinary issues

Shift thinking to focus on results rather than effort

Provide feedback/share successes and lessons learned with one another

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Evaluation PlanEvaluation Plan

•Developed by

– Human ResourcesPERFORMANCEEVALUATION

PRODUCTIVITY

ATTENDANCE

INITIATIVE

OVERALL RATING

For details and bookings contact:-

Parveen Kumar Chadha… THINK TANK

(Founder and C.E.O of Saxbee Consultants)

Email :-saxbeeconsultants@gmail.com

Mobile No. +91-9818308353

Address:-First Floor G-20(A), Kirti Nagar,

New Delhi India Postal Code-110015