Addressing Performance Problems:

The Discipline Process

Module Overview

Purpose: •To cover performance problem assessment and review the discipline process.

•Explore the supervisor’s responsibility and available resources.

Objectives:•Recognize UM’s principles of consistency and due process in applying discipline

•Understand the steps to be used in determining appropriate disciplinary responses

Overview of Supervisor’s Guide

Purpose: Identify steps to take when there is:

– Unsatisfactory performance, or

– Inappropriate behaviors

Managers or Supervisors are required

to take immediate action…

when orderly or efficient operations are compromised.

Performance Management Cycle

Set Performance Expectations

• Develop Performance Plan

• Review Performance

• Coach as needed

Analyze

Performance Gap

Unwilling?

Unable?

• Set New Plan

• Review Performance

• Establish improvement plan as needed

Observation and Feedback (Coaching)

Coaching

strengthens communication

shapes performance,

increases the likelihood of meeting expectations

Setting Performance Expectations

Two varieties:

1. Behavioral•  Focused on the “rules” • Established for orderliness in the

workplace

2. Job-specific• Set at the time of hire• Continuously evaluated and revised

Behavioral Problems

Examples:

Negligence

Insubordination

Tardiness

Abusive or offensive language

Violation of rules

And other issues related to general conduct and behavior

Behavior Problem –Ability or Willingness?

–Usually within the employee’s control

–Represents conscious choices made by the employee

Job-Specific Performance Problems

Typically results in unsatisfactory work performance, such as failure to meet:

• productivity standards• quality standards

 

Often can be quantified• makes it easier to identify the

performance gap

Examples of quantifying: timeliness of work volume of work number and frequency of errors

Case Study #1

Let’s Review !

• Performance management system–Emphasis on coaching–Setting performance expectations

• Two types of performance expectations–Behavioral– Job-Specific

Job-Specific Performance Problem:Ability and/or Willingness

May not be within the employee’s control

May be due to a knowledge, skill or talent deficiency

Play an active role in supporting your employee to meet the minimum requirements

  

Ability and Willingness Assessment

Purpose: To determine the nature of the performance gap

DefinitionsAbility: Employee has been observed

demonstrating the knowledge, skill and capacity to achieve the performance expectation.

Willingness: Employee has demonstrated the confidence, motivation and commitment to achieve the performance expectation.

Ability and Willingness Assessment (cont)

Is the employee…

…able and willing to achieve the performance expectation?

…demonstrating a capacity to perform the task?

Or

Has the employee ever demonstrated capacity?

Ability and Willingness Assessment (cont)

ABLE UNABLE

WILLING Periodically assess Recognize Develop Mentor Reward as appropriate

Coach Evaluate Determine area of skill

deficit Develop (re-train), transfer

or terminate

UNWILLING CoachReview performance expectationsFollow the disciplinary guidelines as appropriate. This may be misconduct.

Coach Evaluate Determine area of skills

deficit Develop Counsel and clearly

communicate expectations Assess improvement. Document inability and

take appropriate action of discipline, transfer and/or termination.

Ability and Willingness Assessment (cont)

Willing and Able - should perform satisfactorily

 Unwilling or Unable or both – ultimately, will

not be successful  Unwillingness - usually a behavioral issue

that may be considered misconduct and grounds for disciplinary action.

 Inability - employee would do it if they could,

therefore no misconduct is present. However, transfer or termination* will still occur since the employee can not do the job

The Discipline Process

The first step for either problem is an Initial Assessment 

 

• Investigate

• Consider fitness for duty as a factor

• Assess the seriousness of the problem

Investigation

•Be thorough

•Include discussions with witnesses (or they can write out their statement)

•Talk to the employee directly

•Your HR Consultant is always available!

Assessing the Seriousness of a Problem

• Mitigating Circumstances– Circumstances which serve to explain or lessen the behavior

• Aggravating Circumstances– Circumstances which cause us to view the behavior as more severe

Case Study #2

Fitness for Duty

…the employee may be referred for a Fitness for Duty evaluation.

When an employee is observed…

… having difficulty performing duties in a safe manner

Or

… performing tasks in a manner which pose a threat to self or others,

Fitness for Duty Process• Help assure the safety and health of

all individuals

• Establish procedures to evaluate an employee’s ability to safely and competently perform his/her duties when a health or safety problem arises.

• Comply with the 1988 Federal Drug Free Workplace.

Fitness for Duty Determination

Consultation with a Human Resource Consultant

Fitness for Duty evaluation by an evaluator with appropriate expertise.

The University will make the final determination

  Employee will be relieved of duties pending

completion of the evaluation.   If found unfit for duty, employment status

will be determined case-by-case, in accordance with University policy and practice.

Supervisors Guide: Pages 9 -10

Criterion for Assessing the Seriousness of Behaviors Supervisors Guide: Page 11

Disruption DamageSafety Hazard

Bodily Injury Violation of LawIm

pact

Misappropriation

Acceptability of ConductCorrect-ability

Signal

Damage the

reputation Undermined

management’s

authority

Criterion for Assessing the Seriousness of Behaviors

• Gather as much information as possible about the incident.

• Evaluate the incident against the 12 criteria

• Apply all criteria in each situation (only the relevant ones will be considered in the final outcome)

Case Study #3

Prior to Discipline:Counseling & Coaching

• Counseling – Primarily used for

behavioral improvement– Like clarification policies

and standards

• Coaching – Primarily used for job

performance improvement – Like teaching and

demonstrating

Disciplinary OptionsNon-Exempt Staff Oral / Departmental Warning –

Documentation maintained in departmental file only

 

Written Warning – Central HR file   1st Written Warning - Central

HR file 2nd Written Warning - Central

HR file

DLO – Disciplinary Lay Off - Central HR file

Disciplinary vs Corrective Action

• Disciplinary – Written Warnings– Disciplinary Lay Offs– DRC (Disciplinary Review Conference)– Discharge

• Corrective – Corrective action memos– Pre-termination meeting– Termination

Critical Incident Discipline

Applied to behaviors that are: • serious and deemed not correctable• cause for immediate discharge

Examples •fighting•embezzlement•falsification of university records•sexual harassment•discrimination•patient safety•violation of patient confidentiality•parking fraud

Case Study #4

Special Considerations

• Suspension

• Exempt vs Non-exempt

• Probationary Period

• Bargained for Employees

Suspension Not a form of disciplinary action.

A period of no action

Used to investigate a serious situation

Determines which action should be taken

Generally unpaid but lost wages may be restored

All access to electronic patient health information or records should be discontinued

Health System ID card should be retained or deactivated

Suspension

• Make it private

 

• Always contact Human Resources prior to issuing a suspension

Case Study #5

Disciplinary ProcessExempt vs Non-Exempt StaffNon – Exempt Staff:

• Specified productivity expectations and defined controls

• More options for disciplinary steps

Exempt Staff:• Amount and quality of work they produce • Greater autonomy• Discipline includes fewer steps, generally

includes:• Coaching (typically on multiple

occasions)• Written Warning(s)• Disciplinary Review Conference with HR

prior to termination.

The Probationary Period• Regular, non-bargained-for

University employees: six-months**

• Demonstration of basic competencies and attributes is expected

• Probationary period discharge may be an appropriate step

**Employees who transfer within the University

do NOT have a Probationary Period.

Discipline and Bargained For Employees

• Option to have union representative present if oral investigation information could lead to disciplinary action

• Union steward must be notified when a disciplinary layoff is being given. (Usually a grievance is filed automatically by the union.)

• Union must represent their members, in part, through the grievance process.

• Always contact your HR Consultant  

See Handout: Discipline Guideline for Bargaining Units

Common Pitfalls to Avoid!!

Procrastination

Avoidance

Timing

Criticism

Discipline: Guidelines for Success

• Manage your anger and defensiveness

• Avoid hidden agendas

• Don’t take things personally

• Don’t focus on the employee’s personal life

• Don’t address too many things in one meeting

Discipline: Guidelines for Success

• Rehearse and practice

• Take notes, document

• Focus the discussion on what needs to occur differently

Providing Feedback and Clarifying Expectations

Managing AttendanceExpectation: Maintain regular and reasonable attendance

Common Problems: Excessive unscheduled absences and tardiness

Your Responsibility: Understand the time-off plan

• Sick and Vacation Plan• PTO Plan.

Managing Attendance

Sick Time - used for

• personal health issues,

• preventive care appointments, or

• family care time.

University employees have 15 non-accumulating days (prorated for part-time) per year.

Managing Attendance

Vacation Time:

• Personal time off for any reason

• Accrues on a monthly basis,

• Total: 8-16 hours per month,

depending on

• Job status

• Length of service

• Prorated for part-time 

Managing AttendanceUnexcused No Pay: used when…

• The absence has not been approved

• Sick or vacation time is or is not

available

• There is unscheduled time off under PTO

• Before or after a holiday

• When PTO time is exhausted

Managing Attendance

PTO Time: • Time off for any reason

• Personal health

• Vacation

• Preventive care

• Family care

• Accrues on a monthly basis • Job status

• Length of service (13.33 hours to 21.33 hours per month)

• Prorated for part-time

Managing Attendance Scheduled PTO Scheduled and approved in advance

• Vacations• Planned personal absences

or • Doctor appointments

  

Unscheduled PTO – “unanticipated”

• Personal illness• Emergency• Sickness in the family• Changes to daily work

schedule • “Prior to” = 48 hours

advance notice

Managing AttendanceYou should be concerned when you see:

Excessive time-off

•Absences which are frequent and unplanned

•Usually: Unexcused No-Pay and Unscheduled PTO Excessive use of Sick or Vacation Time

•Especially when absences are frequent and unplanned.

Managing AttendanceExclusion: any day that may not be

allowed in the disciplinary process

 Examples: • Family Care Days under the

Sick and Vacation Plan, and • Family and Medical Leave

Act (FMLA)

Case Study #7

Managing AttendanceUnscheduled absences:

PTO•Less concerned with “why” they are off work•Supervisor approves that they are off, not reason for absence

Sick/Vacation Plan•“reason” for absence is important: sick time versus other type (vacation)•must meet criteria for time off, OR it is

Unexcused•Criteria is not met

•Excessive unexcused time off may be grounds for disciplinary action

Absences from Work Excused sick time or PTO

• Granted when an employee is unable to work due to a personal sickness or injury, illness of family members, employee preventive medical/dental appointment, and employee has sick time or PTO time accrued.

Occurrence• Each separate or distinct employee absence• Absence of two or more consecutive days

“Reasonable”• Based on number of occurrences in specific

time period• Family care, time for documented chronic

health conditions, should not be included in the total

Absences from Work

• Patterns of absences

• Misconduct

• Unauthorized absences

• Short term health

problems

Family and Medical Leave Act (FMLA) Absences

Eligibility:

• completed one year of service

• worked 1250 hours during the 12-month period prior to the qualifying event

• for non-exempt staff –count all actual hours worked

• for exempt staff, 50% appointment or greater

Family and Medical Leave Act (FMLA) Absences

Qualifying Events: 

1.Birth 2.Placement 3.Care for others4.Serious health condition of employee

Guidelines for Writing Disciplinary Letters

Purpose:Formal confirmation of the discussion between a supervisor and employee regarding misconduct:

• recognizes problem(s)

• recommends solutions

• restates expectations and

• provides a warning for the future

• serves as a permanent record

Guidelines for Writing Disciplinary LettersTiming:

•Present, as soon as possible, after the incident

•If immediate removal from the work area occurs, present to employee upon return to work.

•Advise employee that a letter is forthcoming  

Preparation:•Immediate supervisor writes the letter

•Only one letter per incident of misconduct 

Guidelines for Writing Disciplinary Letters

Content of the letter should include:

•Identifying information

•Misconduct

•Adverse impact on the department.

•Any University policy or departmental rule violated

•Prior discipline relevant to the current misconduct

Guidelines for Writing Disciplinary Letters

• Describe expectations of future conduct-complete correction

• Identify consequences of continued misconduct

• State the date of expected return to work in cases involving a Disciplinary Layoff (DLO)

• Identify rehire status on discharge letters

• Indicate appropriate department copies

Guidelines for Writing Disciplinary Letters

Do not include:

•Statements which reflect a threat, or any personal or emotional remarks

•Exaggeration or overstatement of the facts.

•An apology for action taken

•Subjective comments or opinions

Be Prepared forPotential Challenges

• Grievances• Arbitration• Outside Agency Complaints

• M.E.S.C. (Michigan Employment Security Commission

• M.D.C.R. - E.E.O.C.• Michigan Department of Civil Rights,• Equal Employment Opportunity Commission

• Requests under Right to Know Act• F.O.I.A.- Freedom of Information Act• Department of Labor• Other civil or criminal actions

Right to know

FOIA

Arb tion

Gri ces

Dept Labor

End of Day Activities

• Action Plans for Today

• Action Plan Summary for Day 4

Homework

• Table Words– As a team share 2 key concepts, lessons learned, or actions

you plan to take based on your table word

– Leave table word cards in basket on table

• Erase names

• Remove trash from tables

• Evaluations

• Completely shut down netbooks before powering off

End of Day Activities

Thank you!