The Use of Counseling
and Discipline to
Improve Employee
Productivity
Counseling vs. Discipline
Counseling



Face-to-face
Communication
Conducted by
supervisor
Usually, first form of
action
Discipline

Penalization

MUST be conducted

by Human Resources
Typically, second form
of action (if counseling
fails)
Counseling is Not Working, Now
What?

If counseling with the employee
fails, or the nature of offense is
beyond counseling, disciplinary
action is reviewed by Human
Resources who will typically
recommend courses of action
Before Reporting to Human
Resources: Gather the Facts

What happened?

Who was directly involved

Did anyone witness (see and/or hear)
anything?

Was the employee asked to explain?

List any extraordinary circumstances
Before Reporting to Human
Resources: Gather the Facts


Should the employee reasonably
have known the actions were
wrong? How?
Be prepared to :

discuss the employment history of the
employee

Discuss any previous counseling

Discuss any previous discipline
Before Reporting to Human
Resources: Gather the Facts

Be prepared to (cont’d):




Define rating of performance
Identify any other employees in the unit who have
acted similarly? If so, when & what happened?
Discuss the impact on the immediate supervisor
and the unit
Provide any and all documentation and proof to
serve as evidence
Common Reasons for Discipline



Time and Attendance
Marginal or unsatisfactory
Performance
Behavior Problems and
Insubordination
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
Tardiness



Employees are expected to be at their
workstation at the prescribed start times.
Arriving late at the start of the day or after
the lunch break, may constitute tardiness.
Regardless of how many minutes.
When known in advance, should notify
supervisors prior to shift.
Classified staff - if more than 7 minutes
late, should charge accruals
Guidelines for Dealing With Time
Abuse



Maintain and analyze attendance record
Call-in directly to supervisor or chain of
command
Counsel employee when appropriate
Guidelines for Dealing With Time
Abuse


Learn to say “no” to requests
that reasonably could have
been made in advance, where
appropriate
Consult with Human Resources
for options, including:

Asking for documentation, and
leave requests to be in writing
Case Study: Rhoda



In your group, discuss the problems presented
and the various strategies for addressing them
How well do you think the supervisor handled
the situation?
How else could the supervisor have approached
the problem?
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
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?
Elements of Behavior Problems
and Insubordination



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?
Case Study: Rita Rite
PART ONE
 Decide what you’ll say to Rita when you call her
in to talk.
 Will you write a memo to document the
discussion?
PART TWO
 What steps should you take?
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.
Decision for Discipline:
Before issuing a Notice of Discipline, Human
Resources must:

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?
Discipline:
Arbitration Standards, cont’d.

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.
Considerations for Appropriate
Penalty

Seriousness of problem or infraction

The duration of this and/or other problems

The frequency and nature of the problem

Consistency in the supervision of employees

Extenuating factors related to the problem
Considerations for Appropriate
Penalty


The employee’s knowledge of the
rules
The history of the organization’s
discipline practices

Implications for other employees

Management banking
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


Suspension without pay


Change of responsibility and job title
Assault, theft, endangering others, antisocial
behavior
Resignation/Termination

An employee guilty of misconduct or
incompetence
Questions and Comments