Positive Progressive

Discipline Module
Quartet of Twos for Monterey County
IST626

*Red font represents need to complete*

Performance Management Wheel
Welcome to Positive Progressive
Discipline module!

Please click on the part of the cycle that

you would like to review.

After reviewing each part, click the small

wheel in the bottom right corner to return
to this page.

When you are ready to begin Positive

Progressive Discipline module, please
click on the Correct Performance
Problems part of the wheel.
Management Keys
Management Keys empower supervisors to unlock the varied needs of employees. Three
primary tools available for developing employee job skills and optimizing performance.
1. Authority.
2. Supervisors working file.
3. Probationary period.

Tool Used:
The Supervisor Working file: A Supervisor Working File is a temporary repository for all
documentation that is believed relevant to the employees periodic performance evaluation,
disciplinary matters and any other documents deemed important to supervise an individual
employee.

Click the wheel when you are ready to return to the Performance Management Wheel.
Management Keys
What are the appropriate records to be maintained in the supervisor working file?
Job Description
Assignment Records
Written expectations and performance agreements
Communications notes, letters, email
Customer and staff feedback records
Commendations
Complaints
Copies of training certificates
Written counseling memos, notices, warnings, agreements
Performance Improvement Plans
Other notes or documents that support supervision and evaluation

Click the wheel when you are ready to return to the Performance Management Wheel.
Establish Performance Expectations
- Start with the big picture about the Countys and the Departments vision, mission, job
specifications, and any departmental outcomes.
- Bring the big picture into focus: What the employee is to do and how to do it?
- Work through the details: Knowledge, Skills and Abilities on the job specifications.
- Take the longer view: Anticipate possible Challenges, Set Deadlines, Establish Milestones,
Provide for Timely Two-way Communication.

Tool Used:
Win-Win Performance Agreement: The ultimate goal is for the employee to operate independently or
as an equal contributor to a team. To work effectively, each employee has to understand how to
organize the work as the department desires.
(See separate attachment for Win-Win Performance Agreement)

Click the wheel when you are ready to return to the Performance Management Wheel.
Collaboratively Set Verifiable Goals & Objectives
1. Identify different types of goals employees and their supervisors might consider.
2. Identify key elements for developing goals.
3. Use the SMART goal model.

Tool Used:

SMART Goal: When establishing the goals through the performance review, the manager and the employee should
ensure that the SMART method is used:

S= Specific

M= Measurable

A= Attainable

R= Realistic

T= Time-bound

(See attachment for this tool)

Click the wheel when you are ready to return to the Performance Management Wheel.
Develop Job Skills for Optimal Performance
Employee development approaches are consciously applied to each employee and each situation to
optimize performance.
Train- Training is a development process the supervisor or manager uses to provide the
employee with new information or skills. This is accomplished by first articulating an objective and
expectation, then giving step-by-step instructions. Instruction is followed by practice. The
employee performs the skills based on the new information. At first, the trainer guides the practice,
but the practice becomes more independent as the employee becomes more proficient.
Direct- Directing is a development process in which the supervisor or manager deploys
employees to perform tasks where the goals, priorities and timelines are already set. Employees
typically have all the necessary knowledge, skills and abilities to perform all related tasks.
Managers or supervisors assess employee accountability based on the scope of the assignment,
the stated goals, priorities and timelines.
Tool used:
See separate attachments for Train, Direct, and Delegate

Click the wheel when you are ready to return to the Performance Management Wheel.
Develop Job Skills for Optimal Performance
Employee development approaches are consciously applied to each employee and each situation to
optimize performance.

Coach- Coaching is a development process in which the supervisor or manager encourages

employees to apply their strengths to new or different workplace situations, or for professional
growth. This is accomplished by listening to the employee and by asking questions to help him/her
explore new possibilities. Employees are challenged and supported at the same time.
Delegate- Delegating is a development process in which the supervisor or manager assigns a
higher level of accountability along with a greater amount of independence. In addition to the
specific work skills, employees possess wisdom and judgment to work with less direct
management. Individual employees act as point person for the work unit.

Tool used:
See separate attachments for Train, Direct, and Delegate

Click the wheel when you are ready to return to the Performance Management Wheel.
Provide Constructive Feedback
The supervisor is responsible for observing and documenting both successful and unsuccessful performance
behaviors of the employee or team over the period of the review cycle for later review by the manager. The
manager is responsible for providing continuous feedback to the employee about his or her performance. To be
maximally effective, performance management is not a once-a-year activity. It is a continuous dialogue between
management and employees.
1. Recognizing tactics that diverge the conversation.
2. Three steps to deliver effective employee feedback.
3. Getting over the discomfort barrier.
4. Five key elements to redirect behavior.

Tool Used:
Feedback Facilitator: 3 steps to effective employee feedback
1. Clarify the situation
2. Share observations about behavior and impact
3. Next steps
(See separate attachment for this tool)
Click the wheel when you are ready to return to the Performance Management Wheel.
Recognize Positive Results
Recognizing positive results goes hand in hand with providing constructive feedback and
redirecting behavior.

Reflection:
1. Know each member of your team as a whole person.
2. Recognize achievement of work unit mission and objectives.
3. Honor those that personify the units shared beliefs.
4. Celebrate personal victories.
5. Have fun.

Tool used:
Saw Sharpener Questions

Click the wheel when you are ready to return to the Performance Management Wheel.
Prepare for the Review
There are some specific items that will help you prepare for the annual review: a mutually
agreed upon appointment with your employee, your supervisory working file, and employee
input.

1. Annual schedule of performance reviews.

2. Supervisor working file, including other input such as customer satisfaction data or
product/service quality data.
3. Employee input.
4. Write the appraisal.

Tools used:

Tools collected in the Supervisor Working file over the past year

Performance Review Checklist

Click the wheel when you are ready to return to the Performance Management Wheel.
Conduct a Collaborative Performance Review
1. Establish a positive context.
2. Use the performance review to celebrate the previous year and to establish a
collaborative strategy for addressing the coming year.

Tool used:

Win-Win Performance Agreement

Click the wheel when you are ready to return to the Performance Management Wheel.
Positive Progressive Discipline: Pre-Assessment

Pre-Assessment

Continue
Janet Holmes, Deputy County Council
Why Positive Progressive Discipline

Continue
Purpose of Course
What should they do?

Maria Tom Continue

Supervisor of X work unit Manager of X work unit

Objectives

1. You will be able to categorize employee incidents and infractions so you can move
forward with the appropriate disciplinary steps.
2. You will be able to choose disciplinary actions based upon the severity of impact of
the employee incident or infraction.
3. You will be able to identify and obtain materials and documentation necessary to
facilitate the prescribed disciplinary action.

Continue
Contents
Pre-Disciplinary Options Disciplinary Options The Skelly Process
Performance Written Reprimand Check for Understanding
Evaluation/Performance Scenario for the Skelly Process
Improvement Plan (PIP) Suspension/Involuntary Leave Case Scenario Practice
Counseling Approaches Without Pay Final Assessment and
Verbal Warning Scenario Survey
Written Warning Reduction in Salary
Withholding Step Scenario
Increase Demotion
Check for Understanding for Scenario
Pre-Disciplinary Options Termination
Scenario
Resignation (in lieu of Termination)
Scenario Continue

Check for Understanding for Disciplinary

Options
Pre-Disciplinary Options
This is the level of preventative action.
When the events or problems have:
A minor impact on the work unit
Little or no bearing on the organization as a whole.
The supervisors/managers are specifically aware of the event or problem.
Use one or more of the approaches to address concern.
What to consider:
The supervisor/managers own work style
The event or issue being addressed
The employees job and work style
The workplace setting
It is at the discretion of the supervisor or manager to decide strategy. Continue

There is no requirement to use a specific approach or specific number of

approaches!
Pre-Disciplinary Options
Though the following options are somewhat informal, the purpose is to improve
employee performance; it is not to administer punishment.

However, supervisors/managers have a supervisory file where they keep records

of their concerns and the coaching, teaching, modeling, or any other strategy used
to redirect the employee performance, attendance, or conduct.

Dont forget to document!

Continue
Pre-Disciplinary: Performance Eval/PIP
Consider whether the employee has the appropriate work-related knowledge and skills. It
is generally appropriate to develop a Performance Improvement Plan (PIP).

Steps
1. Write a document that describes the employees current performance.
2. State the desired performance.
3. Describe the difference between the two.
4. Tell of additional training to be provided (if appropriate).
5. Add a timeline for moving from the current level to the desired level.
6. Then write a schedule for reviewing the progress.
7. Warn the employee warning that violations of written agreements or
additional instances of the identified behavior will lead to further
discipline, up to and including termination. Continue

8. Reference the PIP in the next evaluation and place a copy in the
personnel file.
Pre-Disciplinary: Counseling
Counseling Approaches:

Develop Workplace options with or without memo

Engage Others in Problem Solving with or without memo
Counsel with or without Memo
Written Notice

Click the links above to review the steps and access the link to form for each approach.

Continue
Pre-Disciplinary: Counseling
Develop Workplace options with or without memo
Steps:
1. Engage the employee to craft modifications to workplace routines that
will lessen or eliminate the identified problem.
2. Adapting the counseling memo or written notice, detail the agreement.

-Link to form-

Back Continue
Pre-Disciplinary: Counseling
Engage Others in Problem Solving with or without memo
Steps:
1. Engage the employee and, as appropriate, co-workers also affected
and/or those with special training/knowledge.
2. Ensure that interoffice politics are not eroding collaboration.
3. Adopt a strategy expected to resolve the identified issue or challenge.
4. Adapting the counseling memo or written notice, detail the agreement.

-Link to form-

Back Continue
Pre-Disciplinary: Counseling
Counsel with or without Memo
Steps
1. A written memorandum details the substance of a counseling meeting
including discussion of an event or problem.
2. Cite the work rule(s) that are violated.
3. Detail the impact of the action.
4. Give specific directions for how to handle the situation in the future.
5. Consider carefully reference on the next evaluation.

-Link to Form-

Back Continue
Pre-Disciplinary: Counseling
Written Notice
Steps:
1. Write a memorandum that defines the standard against which
employee performance, attendance, or conduct is judged.
2. Reference on next evaluation.

-Link to Form-

Back Continue
Pre-Disciplinary: Verbal Warning
Verbal warning
Steps:
1. A written memorandum details the event or problem.
2. Cite the work rule(s) that are violated.
3. Detail the impact of the action.
4. Give specific directions for how to handle the situation in the future
5. Reference on next evaluation

-Link to Form-

Continue
Pre-Disciplinary: Written Warning
Written Warning:
Steps:
A written memorandum details the event or problem.
Cite the work rule(s) that are violated.
Detail the impact of the action.
State that the event or problem is a breach of the employment obligation.
Give specific directions for how to handle the situation in the future.
Ensure employee acknowledgement including his/her signature.
Reference the warning in the next evaluation and attach a copy of the
memo.

-Link to form-
Continue
Pre-Disciplinary: Withhold Step Increase

Withhold Step Increase

Subject to conditions of MOU, it is the prerogative of an appointing authority to
withhold any employees step increase upon his/her finding lack of satisfactory
performance of normal job-related development by an employee. Withholding of
step advancement shall not change the step eligible date.

-Link to form-

Continue
Pre-Disciplinary: Check for Understanding
1. Should documentation still occur when utilizing a pre-disciplinary option?
Yes No

2. It is appropriate to provide an employee a written follow-up to a verbal warning or

informal performance meeting? TRUE or FALSE

3. What is something you would not expect to find in a Supervisors Working File?
a. Performance Improvement Plan
b. Attendance/Payroll records
c. Counseling Memo
d. Information regarding an employees medical condition
Pre-Disciplinary: Check for Understanding
4. Move the following pre-disciplinary options into the right category. (Drag & Drop)
Category A: Documentation is recommended
Category B: Documentation is required

Performance Evaluation Plan (B)

Develop Workplace options (A)
Engage Others in Problem Solving (A)
Counsel (A)
Written notice (B)
Verbal warning (B)
Written warning (B)
Withhold step increase (B)
Pre-Disciplinary: Check for Understanding
5. When an employee does not have the appropriate work-related knowledge and skills,
which of the following is generally the most appropriate action?

a. Provide training with no documentation

b. Develop Performance Improvement Plan (PIP).
c. Develop workplace options
d. Counsel with memo

Continue
Disciplinary Options
The disciplinary options are used when:
The problem or events become more serious.
The problem or events create a moderate to significant impact on the
organization.
The supervisor or manager must impose a sanction.
There must be written documentation.
It should state in bold face print that the behavior constitutes a breach of
employment obligation.
Reference it in the employees next evaluation with a copy attached. This is done to
make clear that the employees performance/attendance/conduct is not going to be
tolerated.
It is suggested that you make contact with your HR representative.
Workplace incidents sometimes become emotionally charged. The Continue

supervisor/manager might react to the emotions. This may hurt the effort to redirect
employee behavior.
Disciplinary Options: Legalities
Just Cause

What is it?
Just Cause is term in employment law that is used to refer to reasonable and lawful
ground for action. The burden of responsibility for establishing Just Cause falls to the
Agency of employ and it is up to you, the manager or supervisor, to assist the agency
in fulfilling that responsibility.

Just Cause can be established through:

County and Department Policies & Procedures
Performance Evaluations
Records of prior discipline
Continue
Disciplinary Options: Legalities Cont.
In order to discipline a public sector employee, who is not at-will, managers and
supervisors must comply with:

Agency disciplinary processes

Applicable provisions of existing MOUs or collective bargaining agreements
Legally imposed due process requirem

Continue
Disciplinary Options: Legalities Cont.
Due Process

What is it?
For public sector employees, this typically means that they must receive advance
notice regarding disciplinary action, specifically termination, and be afforded the
opportunity for a hearing. The agency must show that it has a good reason for its
action (just cause) while the employee has the chance to address the charges and
argue in their favor.

The due process concept is grounded in the Federal and State Constitutions.
Agencies that deny employees the right to due process risk lawsuits for wrongful
termination. This can be avoided by following the Skelly Process outlined later in
this module. Continue
Disciplinary Options: Legalities - Check for
Understanding
1. An Agency is not required to have Just Cause to discipline an employee.
TRUE or FALSE

2. How does an Agency establish Just Cause? Select all that apply. (a, b, c)
a. County and Department Policies & Procedures
b. Performance Evaluations
c. Records of prior discipline
Disciplinary Options: Legalities - Check for
Understanding
3. In order to discipline a public sector employee, who is not at-will, what managers and
supervisors must comply with? Select all that apply. (a, b, c)
a. Agencys disciplinary processes
b. Applicable provisions of existing MOUs or collective bargaining agreements
c. Legally imposed due process requirements

4. The due process concept is grounded in the Federal and State Constitutions.
TRUE or FALSE

5. How does an Agency give the employee due process?

a. Provide legal representation to all employees Continue
b. Conduct an evidentiary hearing
c. Provide Skelly rights
Disciplinary Options
Supervisors/managers typically use one or more of the following approaches to address
workplace breach.

More than one approach may be used as deemed appropriate by the supervisor or
manager.

Continue
Disciplinary: Written Reprimand
A written memorandum details the event or problem. This is one of the most
common disciplinary actions used.
Steps:
1. Cite the work rule(s) that are violated.
2. Detail the impact of the action.
3. State that the event or problem is a breach of the employment
obligation.
4. Give specific directions for how to handle the situation in the
future.
5. Include employee acknowledgement, signature with option to
submit a response, and notice of discipline for lack of compliance.
6. Place a copy in the employees personnel file.
Continue

-Link to example in workbook-

Disciplinary: Written Reprimand -- Scenario
Insert case scenarios that demonstrate use of written reprimand

Continue
Disciplinary: Suspensions
Suspension/Involuntary Leave Without Pay.
Employees may be suspended without rights, privileges and salary according to
PPPR and any controlling MOU in a format similar to written reprimands

-Link to example in workbook-

Continue
Disciplinary: Suspensions -- Scenario
Insert case scenarios demonstrating use of suspensions

Continue
Disciplinary: Salary Reduction
Reduction in Salary-
Subject to an MOU, an appointing authority may reduce the salary of an
employee for disciplinary reasons, provided that such reduction shall be to a step
within the salary range of the classification of the position held by the employee.

- Link to example-

Continue
Disciplinary: Salary Reduction -- Scenario
Insert scenario of salary reduction.

Continue
Disciplinary: Demotion
Demotion-
Subject to an MOU, an appointing authority may demote an employee, for
disciplinary reasons, to any position with a lower salary, provided the employee
meets the qualifications for the lower-level position. Such demoted employee
shall not be eligible for promotion for a period of six (6) calendar months after the
effective date of the demotion.

- Link to example-

Continue
Disciplinary: Demotion - Scenario
Insert scenario demonstrating demotion

Continue
Disciplinary: Termination
Termination-
The permanent removal of the employee from service. Termination usually
should occur only when the agency is satisfied that no other alternative is
possible. Termination for first offenses may be warranted where the misconduct
is serious, e.g., theft, assault, dishonesty, falsification of documents, etc.

- Link to example-

Continue
Disciplinary: Termination -- Scenario
Insert scenario demonstrating termination.

Continue
Disciplinary: Resignation in lieu of Termination
Resignation In lieu of Termination-
Resignation in lieu of termination: The employee voluntarily submits a
resignation prior to the effective date of the proposed termination date.

-Link to example-

Continue
Disciplinary: Resignation in lieu of Termination
-- Scenario
Insert scenario of resignation in lieu of termination

Continue
Disciplinary: Check for Understanding
Short check for understanding.

Questions:
1. Should documentation occur when utilizing a disciplinary option?
Yes No
2.

Continue
Disciplinary: The Skelly Process
A public employee (excluding at-will employees) shall be given written notice of a
proposed adverse action.
The Skelly notice shall be given to the employee at least five working days prior to
the effective date of the proposed action.

This notice shall include:

1. The reasons for such action
2. A copy for the charges for adverse action
3. A copy of all materials upon which the action is based
4. Notice of the employees right to be represented in proceedings under this
section
5. Notice of the employees right to respond to the person specified
Continue

The person whom the employee is to respond shall be above the level of the
employees supervisor or manager.
Disciplinary: The Skelly Process
This is not a full, evidentiary hearing. The Skelly meeting is the employees chance to
speak prior to being disciplined. The employee may offer any information deemed helpful
to himself/herself. The Skelly Officer may determine the strength of the charges. He/she
will learn about the employees case. A Skelly Officer may also question the employee in
an effort to clarify the facts.

After the meeting, the Skelly Officer rules on the proposed discipline. The supervisor's or
managers recommendation may be sustained. On the other hand, it may be modified --
reduced in some way. The Skelly Officer may also reject the proposed discipline explaining
the rationale in a memo.

The Skelly Officer notifies the employee of the outcome in a memo called the Final Notice
of Discipline. The Final Notice will also include a summary of the Skelly meeting. Continue
Disciplinary: The Skelly Process
The Skelly Process: a 2-Step Process

#1 Written Notice of Intent to Discipline

Reasonable time for employee to respond

Designation of the Skelly Officer

Conducting the Skelly Meeting

#2 Written Notice of Action

Implementing Disciplinary Action Continue

Disciplinary: The Skelly Process
Employees (other than temporary employees, probationary employees, or employees who
serve at the pleasure of their appointing authority) occupying a permanent position may file
a written appeal from disciplinary actions. [PPPR D.13]

Continue
Disciplinary: The Skelly Process
Appeal of the Disciplinary Action
(See page 28 of 66 section 7 back section of KPSS workbook)

Final & Binding Arbitration

Special Considerations

At Will Employees

Relationship with the Union

Confidentiality
Continue
Disciplinary: The Skelly Process - Check for
Understanding
1. Prior to imposing a significant disciplinary penalty, a manager or supervisor must
provide the employee with a written Notice of Intent to discipline, which states the
nature of the proposed discipline? TRUE or FALSE

2. When discipline is issued to an employee, the Agency must provide a reasonable

period for employee to respond orally and/or in writing? TRUE or FALSE

3. After response period, the Agency must provide the employee with a written notice of
final discipline, if a determination is made to proceed with intended or lesser penalty?
TRUE or FALSE
Disciplinary: The Skelly Process - Check for
Understanding Cont.
5. Employees who have due process rights to their jobs, have a right to a trial-type
evidentiary hearing after the discipline is imposed? TRUE or FALSE

6. It is acceptable to discuss an employees discipline with an employees co-worker?

TRUE or FALSE

Continue
Case Scenario Practice
Insert Practice Scenarios
A scenario will be prompted here and ask learners to choose the most appropriate
one among a few options. When learners click a choice, corrective or confirming
feedback will be given. If they made a wrong choice, they will be asked to go back
and try again.
Summary
In this module, you learned how to:

Key point from each section will be summarized here.

If you are ready to take the post assessment, please click the continue button.

Continue
Final Assessment & Survey
If you have completed all portions of this training, take the post assessment and a brief
survey to receive your certificate of completion!

Begin Assessment
 Post-Assessment
Sort the following into pre-disciplinary options and disciplinary options. (Drag & Drop)
Written warning (P)
Written reprimand (D)
Counseling with memo (P)
Involuntary leave without pay (D)
Written notice (P)
Reduction in salary (D)
Demotion (D)
Termination (D)
Withhold step increase (P)
 Post-Assessment
In which of the following cases would a disciplinary course of action be deemed the most
appropriate? Select all that apply. (C, D, E, F, G)
A. An employee without work-related knowledge and skills who does not have a well-documented
record
B. An employee with a performance issue for a long time who does not have a well-documented record
C. An employee with an attendance issue who violates a written agreement on the issue
D. An employee with a behavior issue who repeats the behavior after an intervention on the same
issue
E. An employee with a conduct issue that affects a few employees briefly
F. An employee whose conduct that compromises the Countys relationship with customers
G. An employee whose conduct issue affects the work or productivity of several other employees for a
limited time
 Post-Assessment
What are the necessary steps in the case of writing a written reprimand? Select all that
apply.
Cite the work rule(s) that are violated.
Detail the impact of the action.
State that the event or problem is a breach of the employment obligation.
Give specific directions for how to handle the situation in the future.
Include employee acknowledgement and signature.
Give the employee the option to submit a response.
Include notice of discipline for lack of compliance.
Place a copy in the employees personnel file.
If the employee refuses to sign, leave it blank. (Wrong Option)
Let other employees in the same work unit know the personal reasons for the action
and ask them for understanding. (Wrong Option)
 Post-Assessment
Case Scenario: Attendance Issue
An employee is routinely late to work and leaves work before the end of the duty hour. The
employee stated that this is due to personal matters (e.g. dropping off kids and picking them
up from school). Which of the following would be the best course of action in this situation?

A. Counseling
B. Verbal warning
C. Written warning
D. Written reprimand
E. None of the above
 Post-Assessment
Case Scenario: Performance Issue
You observed that an employee has been using social networking sites such as Facebook
and Twitter extensively during duty hours which at times caused her to fail to meet deadlines
for assigned projects. Which of the following would be the best course of action in this
situation?

A. Counseling
B. Verbal warning
C. Written warning
D. Reduction in salary
E. None of the above
 Post-Assessment
Case Scenario: Conduct Issue
You received complaints about an employee who falls asleep in his cubicle during duty
hours. You also observed that he was dozing off during one of the meetings. When you
discussed this issue with him, he said that he sometimes gets drowsy due to the medications
that he has been taking. Which of the following would be the best course of action in this
situation?

A. Verbal warning
B. Written warning
C. Reduction in salary
D. Suspension without pay
E. None of the above
Certificate of Completion
Certificate of Completion

Continue
Usability Survey
This is a placeholder. Insert survey questions.

Begin Survey