Discipline in General

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Discipline

According to Richard D Calhoon-³ 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 anorganization.´

We can understand that the term (discipline)means, ³conformity & willingness to work for the

objectives of the organization, has to come from,within, though at times they may have to beimposed by an external agency.´



Discipline in general Discipline in general

The purpose of this imposed disciplinary process isthe 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, attendanceor 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 ³showing´ that inadequate performance by

fellow employees won¶t just be tolerated



Ru le of thumb: Similarly situatedemployees should receive similar penalties for similar offenses. (Employees

do not have to receive identical penalties,but if all relevant circumstances aresimilar, the penalties should be similar.)

Ru le of other th

umb:Major differences in situation or circumstances

can justify very different penalties.



Progressive disciplineProgressive discipline

Y ou know what it means:

A system that imposes progressively

greater disciplinary measures upon anemployee 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 ³active 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 ExcessiveTardiness

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 hourswithout 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 athreat of physical harm



Progressive discipline overviewProgressive 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




Benefits especially for em ployer :

Gives employer assurance that it has

made reasonable effort to obtain theemployee¶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




Disadvantages (?):

± Must be consistent

± Must have written documentation ± Doesn¶t reward procrastination



I ndiscipline

It means disorderliness, insubordinationand not following the rules & regulations of

an organization.

It is very difficult to prepare an exhaustivelist 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 toTypes of misconduct subject to

disciplinediscipline 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



PrePre--discipline notice &discipline notice &

conferenceconference Must notify employee & union of

contemplated discipline (exceptreprimands) & right to respond

Employee gets opportunity to respond(conference default; writing alternative)

For conference, be prepared, get to

purpose quickly. Be courteous; giveemployee fair opportunity to have his/ her say.



Pay close attention, but don¶t argue,

apologize, or say too much. Avoidsympathetic comments that might be

distorted in later appeal (³sorry ...´).

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 disciplineFormal discipline----typestypes

1 A. Suspension² 15/30 day limits?

1B. Reduction in salary²lower step in

same range for specified time2. Demotion²to different position with

lesser salary range

3. Dismissal²as follow-up or for extremes4. Immediate dismissal²good 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 theincidents

Interview all individuals with knowledge of an

event prior to interviewing target

Review any written policies, guidelines, etc.



Schedule an µinterrogation¶ as defined by CB A with target individual and direct employee to

attend with right to representation

Provide and read target employee his/her rightsunder the CB A

Interrogate (interview) the target individual

Once the interrogation is concluded, decide if discipline is warranted and what an appropriatepenalty 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 theemployer¶s evidence.

What constitutes an appropriate penalty?

± Apply standards of progressive disciplinewhen assessing penalties.

± Encourage the employee to correctinappropriate or unacceptable behavior by

means of support through managementand/or issuing an Employee AssistanceProgram 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 beimplemented



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

Discipline in General

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