Conducting Effective
Employee Progressive Discipline
utilizing
FRISK & SKELLY
Prepared by
SOCCCD
Office of Human Resources
Attitude toward Discipline
Disciplining employees does not need to
be a tense, nerve-wracking confrontation
for supervisors and employees.
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 of
Progressive 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 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 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 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 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?
A disciplinary action is a
suspension, demotion or dismissal.
Letters of reprimand, counseling and
warnings are pre-discipline measures, and are
not considered formal disciplinary actions.
Degree of Discipline
The degree of discipline is dependent upon several factors
which must be taken into consideration:
 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?
Components 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’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.
FRISK
 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 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
Evaluator
should start
at the first step
whenever
possible
Oral Warning/ Written
Conference Warning
Should be given
only after the
employee has
received both an
oral and written
warning
To be used when
warranted by nature
of offense
Letter of Unsatisfactory Suspension
Dismissal
Reprimand
Evaluation Without Pay
Next step after
oral warning when
employee repeats same
unsatisfactory conduct
Evaluator
should formally
document
unsatisfactory
performance
Final and
most severe
step in the
process
Deciding 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 Action
Causes 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 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 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 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 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
Reprimand
Employee Signature
Acknowledging Receipt of Letter
Statement of Employee’s Rights
Statement of Future Action if No
Improvement is Made
Summary of Specific Rule or
Policy Violated
Review of Past Corrective Measures
The Specific Nature of the Problem
Reason for Reprimand
Writing 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 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”
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
for exercising this right.
Weingarten Rights are not applicable in routine
discussions involving normal work instructions or
procedures.
Employee 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)
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
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
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
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:
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.
Sufficient 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 Challenge
“To create a performance
management process that is a model
for excellence within the California
Community College system”
What’s in it for SOCCCD?
 Increased morale, productivity and
accountability
 Ability to attract and retain the best and
brightest
 Opportunity to create a culture that
promotes performance enhancement
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
Questions
Evaluation Plan
• Developed by
– Human Resources
PERFORMANCE
EVALUATION
PRODUCTIVITY
ATTENDANCE
INITIATIVE
OVERALL RATING