ODS Office of Discipline Services Flashcards
Preventive Actions
EMPLOYEES SHOULD KNOW
Employees should know…
what their job duties are,
how to perform them, and
the performance standards by which they will be evaluated.
Provide a duty statement to each employee that identifies both the essential and nonessential job functions. Discuss the statement and clarify the tasks required to perform each duty. Review the duty statement with the employee to ensure it still describes the employee’s current assignment. Ensure the employee understands the expectations and duties as described and/or modified. Discuss when the employee is expected to meet the standards. Discuss how and when the employee will be evaluated and what the consequences will be if the standards are not met. Document these discussions and provide a copy to the employee. Ask the employee to confirm receipt of the copy by signing the original document.
Preventive Actions
CREATE A FAVORABLE WORK ENVIRONMENT
Create a favorable work environment,
be approachable,
listen to your staff,
and be responsive to issues brought to your attention.
Provide the resources needed to perform assigned duties successfully (e.g., tools, equipment, staff, materials). Foster safe and appropriate interpersonal relationships with co-workers and clients. Encourage communication between you and your staff. Resolve conflicts as quickly as possible. Leaving situations unresolved, this can lower morale and hurt your credibility as a leader.
Preventive Actions
FEEDBACK ON JOB PERFORMANCE
Feedback on job performance should be provided to the employee that entails critical, constructive, and ideally oral and written feedback, pertaining to job performance through regular monitoring of their productivity and workload.
Conduct performance evaluations at least three times during the employees’ probationary periods, and at least annually throughout their employment.
Preventive Actions
TRAINING AND STAFF DEVELOPMENT
Training and staff development should be provided to employees that are both adequate and developmental to employees’ continued success. Ensure training needs are met within a reasonable time frame. Develop employees for increased responsibilities and future job opportunities through additional training, education, and/or assignments.
Corrective Actions
CONDUCT AND DOCUMENT APPROPRIATE PREVENTIVE ACTION
CONDUCT AND DOCUMENT APPROPRIATE PREVENTIVE ACTION before proceeding to corrective action, barring egregious acts. If corrective action is taken, it should be at an appropriate level for the problem. The employee’s rights must be observed. Contact the Office of Discipline Services regarding documentation requirements and to discuss if the corrective action is appropriate. Determine if an employee’s conduct or performance is satisfactory. If unsatisfactory, clearly identify the specific act or omission that is not acceptable. Fully understand the nature and extent of a problem before deciding on a course of a corrective action.
Corrective Actions
CONDUCT AND DOCUMENT APPROPRIATE PREVENTIVE ACTION
Fully understand the nature and extent of a problem before deciding on a course of a corrective action.
What is the exact nature of the unsatisfactory conduct or performance?
Was the employee apprised of the standards of conduct?
Did the employee receive the necessary job training?
Under what conditions did the unsatisfactory conduct or performance occur?
Were other individuals involved?
Who are they?
Does the employee have previous history of similar incidents or infractions?
How were they handled?
Has the employee been notified of the poor performance or unacceptable conduct throughout the process?
Is there documentation of the notification?
Corrective Actions
1. Verbal Instruction
Some employees will improve when given clear direction or a reminder concerning appropriate behavior and/or performance. Give the employee verbal instruction immediately preceding performance of the task in question, or the unsatisfactory conduct in question, so the instruction (verbal warning) will provide notice to the employee.
For example, when assigning a new task to an employee who has a history of missing deadlines, you should inform the employee of your expectation by stating: “Please note the due date on your calendar, and inform me as soon as possible of any problem you encounter that will prevent you from completing the assignment by that date.”
Keep a record of the due date and the instructions given. Follow up with an informal note or email to the employee confirming the verbal instructions.
Corrective Actions
2. Increased Monitoring
Closely monitor problem behavior and/or performance. Monitoring focuses attention on the problem and provides a chance for adjustments to be made quickly. Increased monitoring should be documented in the supervisory working file. Suggest a time to meet prior to the deadline to check progress. If the employee’s performance or conduct improves, monitoring should be decreased. If the issues persist, corrective action may be warranted. You should consult with your chain of command and the Office of Discipline Services prior to taking corrective action.
Corrective Actions
3. Corrective Interview
To conduct a corrective interview, meet with the employee and describe the changes that must be made. Establish a time frame for compliance and specify the consequences for failing to comply. Assess whether the employee understands the requirements for the job, and has the necessary skills and motivation to correct the problem. Communicate clear expectations to the employee.
Corrective Actions
4. Letter of Warning
Advise the employee of the deficiency. Inform the employee what action is necessary and suggest how to achieve it. Instruct the employee when the action is expected to take place within a specified reasonable time frame. Warn the employee that failure to improve may result in formal adverse action. Give the letter to the employee and ask the employee to acknowledge receipt of the memo by signing and returning a copy.
Adverse Actions
ADVERSE ACTIONS can be appealed to the State Personnel Board. Barring exigent circumstances and egregious acts, supervisors and managers should ensure that “just cause” has been established prior to pursuing disciplinary actions against employees. Since the adverse action impacts an employee’s job status, the authority to take disciplinary action is delegated to the department’s upper management. It is imperative for supervisors and managers to keep their chain of command apprised of employee issues and any informal or formal disciplinary action taken. The Office of Discipline Services should be consulted prior to issuing letters of warning or requesting disciplinary action.
Adverse Actions
THERE ARE MANY LEVELS OF ADVERSE ACTIONS
THERE ARE MANY LEVELS OF ADVERSE ACTIONS
Adverse Action can be taken against an employee in the form of an Official Reprimand, Reduction in Salary, Suspension Without Pay, Demotion, Dismissal or Other Disciplinary Action (e.g., mandatory transfer). The process for initiating a formal disciplinary action is the same regardless of the level of action taken. The supervisor is responsible for documenting the employee’s misconduct or poor performance, updating their chain of command on employee issues, and requesting disciplinary action when all corrective and preventive measures have been exhausted.
Adverse Actions
CONDITIONS NEEDED TO ESTABLISH JUST CAUSE
CONDITIONS NEEDED TO ESTABLISH JUST CAUSE
Supervisors and managers should ensure that there is justification for the discipline prior to requesting disciplinary action against an employee. If the cause for the action is not legally sufficient, or if management has acted arbitrarily, capriciously, or discriminatorily, the adverse action may be overturned on appeal. The following conditions must be met to establish cause:
- The rules or standards the employee has violated must bear a reasonable relationship to the employee’s specific job and/or the goals and mission of Caltrans.
- The employee must have notice of the rules or standards he/she is charged with violating, preferably supported by signed documentation indicating the employee received copies of the rules and standards.
- The rules or standards must be equitably enforced. Do not single out one employee where other employees have not been disciplined for similar conduct. If enforcement has been lax in the past, put the employees on notice that the rule or standard will now be enforced. Give employees a reasonable opportunity to comply before anyone is disciplined for a violation.
- There should be evidence that the employee was warned about the consequences of violating the rule or standard, and was given an opportunity to comply. The only exception is in egregious cases where an employee may be deemed to know or should have known that the misconduct would lead to disciplinary action.
- If disciplinary action is taken for an employee’s conduct off the job, there must be either a clear connection between the misconduct and the employee’s ability to effectively perform the duties of his/her position, or the misconduct must be of such a nature that, if known to the public, it could discredit either the employee or the department.
- Management should conduct a thorough, objective investigation to determine whether the misconduct occurred as alleged.
- There must be sufficient evidence to support that the misconduct occurred as alleged
- The level of the action must be appropriate to the nature of the offense, taking into account the particular employee’s position, length of service, and prior work history, along with any aggravating or mitigating factors.
Adverse Actions
ADDITIONAL FACTORS TO CONSIDER:
ADDITIONAL FACTORS TO CONSIDER:
The statute of limitation is three (3) years from the act of misconduct or from the discovery of fraud. (Government Code section 19635)
If the employee has already been disciplined for misconduct the Department cannot pursue further action against the employee for the same misconduct. (Unless the employee is given notice in the informal discipline process that if they engage in similar conduct in the future, adverse action will be taken against them for the incidents cited in the memorandum as well as any future incidents.) (Carla Bazemore, SPB Precedential Board Decision 96-02)
Rejection During Probationary Period
THE PROBATIONARY PERIOD
THE PROBATIONARY PERIOD is considered the last phase of the selection process. Carefully consider a rejection on probation since the consequences to the employee may be serious. However, a supervisor should reject a probationary employee if the performance, conduct, capacity, moral responsibility, or integrity of the probationer is unsatisfactory.
Rejection During Probationary Period
DURING THE PROBATIONARY PERIOD
DURING THE PROBATIONARY PERIOD, bring any problems with performance to the probationer’s attention and discuss them in a timely manner. Provide suggestions for improvement. The first report of performance should specify deficiencies, any examples of unsatisfactory performance, and any areas needing improvement. If the employee has not achieved a satisfactory level of improvement by the time the second report is prepared, use the second report to clearly inform the employee that continued failure to improve will result in a rejection during probation.
Rejection During Probationary Period
A PROBATIONER MAY BE REJECTED FOR REASONS OF QUALIFICATIONS
A PROBATIONER MAY BE REJECTED FOR REASONS OF QUALIFICATIONS, the good of the service, or failure to demonstrate merit, efficiency, fitness, and moral responsibility. These grounds for rejection during probation are very broad. The department must be able to demonstrate a legitimate factual basis for the rejection. Supervisors should contact the Office of Discipline Services when contemplating rejecting a probationary employee.
Legal Basis for Discipline
Legal Basis for Discipline
Civil Service employment for the State of California is administered by two agencies. The Department of Personnel Administration (DPA) manages the nonmerit aspects of State employment (e.g., labor contract negotiations, statutory appeals, salaries and benefits, and grievance administration). The State Personnel Board (SPB) manages the merit aspects of State employment (e.g., exams, administrative appeals, appointments, and disciplinary hearings). These agencies ensure the personnel programs of the State government are administered in accordance with the California Government Code, and other State and Federal labor laws and regulations.
Government Code (GC) sections 19570-19593 contain the California state law regarding State employees discipline and tenure of managerial employees. Collective Bargaining Agreements (CBA) contain the terms and conditions of employment for represented employees. If an employee is subject to the terms of a CBA, the CBA should always be consulted. If the GC and the CBA have different processes, the process identified in the CBA is controlling and should be used in lieu of the process identified by the GC.
In addition to the laws and rules developed by DPA and SPB, Caltrans has policies to guide and assist supervisors and employees. Check with the Department’s Human Resources staff for information on departmental policies, procedures, and forms.
CONTACT LIST
PROBATIONS and AWOLS DISTRICTS
DISCIPLINE ANALYST
DISCIPLINE ANALYST
PHILLIP PEABODY
CONTACT LIST
SOUTH REGION CASE MANAGER
HUY NGUYEN
CASE MANAGER
