Discipline

According to Richard D Calhoon-

“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 an
organization.”
We can understand that the term (discipline)
means, “conformity & willingness to work for the
objectives of the organization, has to come from,
within, though at times they may have to be
imposed by an external agency.”
 Discipline in general
The purpose of this imposed disciplinary process is
the 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, attendance
or behavior differs from what’s expected
2.Motivate and assist employees in changing their
performance, attendance or behavior
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.
 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
• 3 Levels of Offenses
Group I, Group II, and Group III
• Progressive Corrective Action
For initial and subsequent offenses
• An “active life” for disciplinary actions
• Counseling and/or Substandard Performance
• Group I Offenses – Written Notice
• Group II Offenses – Suspension
• Group III Offenses - Termination
 Group I Offenses (examples)
• Inadequate or unsatisfactory job
performance
• Unsatisfactory Attendance or Excessive
Tardiness
• Disruptive Behavior
 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 hours
without permission
 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 a
threat of physical harm
Progressive 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
 Progressive discipline overview
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
Progressive discipline overview
• Disadvantages (?):
– Must be consistent
– Must have written documentation
– Doesn’t reward procrastination
 Indiscipline
• It means disorderliness, insubordination
and not following the rules & regulations of
an organization.
• It is very difficult to prepare an exhaustive
list of the reasons which lead employees
to indiscipline. In fact, a number of social,
economic, cultural & political reasons
contribute to indiscipline in an
organization.
In an organization the parties responsible for
indiscipline are workers and their unions &
the mgt.
 Types of misconduct subject to
discipline
• Abuse of fellow employees
• Conviction of a crime involving moral
turpitude [inherent baseness, depravity]
• Excessive tardiness or absenteeism
• Gross misconduct
• Incompetence
• Indolence
• 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
 Pre-discipline notice &
conference
• Must notify employee & union of
contemplated discipline (except
reprimands) & right to respond
• Employee gets opportunity to respond
(conference default; writing alternative)
• For conference, be prepared, get to
purpose quickly. Be courteous; give
employee fair opportunity to have his/ her
say.
• Pay close attention, but don’t argue,
apologize, or say too much. Avoid
sympathetic comments that might be
distorted in later appeal (“sorry ...”).
• 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?
 Formal discipline--types
1A. Suspension—15/30 day limits?
1B. Reduction in salary—lower step in
same range for specified time
2. Demotion—to different position with
lesser salary range
3. Dismissal—as follow-up or for extremes
4. Immediate dismissal—good of the service
Common Reasons for Discipline
• Time and Attendance

• Marginal or unsatisfactory Performance

• Behavior Problems and Insubordination

 (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
(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
(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?
• 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?
 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 the incidents

• Interview all individuals with knowledge of an

event prior to interviewing target

• Review any written policies, guidelines, etc.

• Schedule an ‘interrogation’ as defined by CBA
with target individual and direct employee to
attend with right to representation

• Provide and read target employee his/her rights

under the CBA

• Interrogate (interview) the target individual

• Once the interrogation is concluded, decide if

discipline is warranted and what an appropriate
penalty would be

• Issue Notice of Discipline

 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?
• Did the employee violate the rule?
– Evaluate the quantity and credibility of the
employer’s evidence.

• What constitutes an appropriate penalty?

– Apply standards of progressive discipline
when assessing penalties.
– Encourage the employee to correct
inappropriate or unacceptable behavior by
means of support through management
and/or issuing an Employee Assistance
Program if needed.
 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 be

implemented
 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