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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

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counseling vs discipline
Counseling vs. Discipline

Counseling

  • Face-to-face Communication
  • Conducted by supervisor
  • Usually, first form of action

Discipline

  • Penalization
  • MUSTbe conducted by Human Resources
  • Typically, second form of action (if counseling fails)
counseling is not working now what
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
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 facts5
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 facts6
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
Common Reasons for Discipline
  • Time and Attendance
  • Marginal or unsatisfactory Performance
  • Behavior Problems and Insubordination
time and attendance
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
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
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 abuse11
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
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
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
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 insubordination15
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
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
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 must18
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
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
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
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 penalty22
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
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
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