Supervisors Guide to Discipline Flashcards
Traditionally we have used the terms “______” and “_____” more or less interchangeably. This is not actually the most descriptive or accurate way of referring to these concepts.
discipline
corrective action
Discipline can be punitive but is more accurately defined as “Training intended to produce a specified character or pattern of behavior.” True discipline is:
self-discipline, which comes from within the person
The goal of the City of Cincinnati is to provide excellent quality ________ for the citizens of the City and the users of our services. In accomplishing this we strive to follow the rules, work well with the _____ and _____ , work efficiently, and contribute to good job performance. So long as everyone works to accomplish the City’s goal, all is well
public service
public and coworkers
Corrective action is the term for what used to be called _______ .
discipline
Corrective action is the ______ option to get employee behavior back within the norm established by the City
last
When employee behavior departs from the standard or norm expected, what becomes necessary?
Corrective action
__________ are unique in that they have specific legal rights established by law. These rights cannot be violated or the proposed corrective action may not be effective or even allowed. It is critical that you as a supervisor know and respect these rights and follow the proper procedures. This handbook deals with the proper methods and procedures to be used when using corrective action.
Classified public employees
It is the policy of the City of Cincinnati to CORRECT inappropriate employee behavior in ______ and ______ manner
TIMELY and APPROPRIATE
The corrective action process is an important _______ . It ensures that organizational goals are met. It is used to maintain ________ . Corrective action is constructive. It consciously attempts to upgrade employee performance and to modify inappropriate behavior. The stress is on the employee’s ______ or ______ , rather than on the employee’s character or personality. It is not personal, it’s business.
management tool
performance standards
performance or behavior
Ohio Civil Service law, as well as the local Civil Service rules, state several official reasons for using the corrective action process.
Those reasons are (9):
- Inefficiency
- Incompetency
- Dishonesty
- Insubordination
- Neglect of Duty
- Failure of Good Behavior
- Substance Abuse
- Excessive Absenteeism
- Violation of the Civil Service Rules/ Civil Service Law/ Code of Ethics
True or False
An employee may be the subject of the disciplinary process for more than one reason. For example, a person charged with dishonesty may also be guilty of failure of good behavior
TRUE
In most situations, the corrective action process begins and ends with _____ _____ between a supervisor and the employee
clear communication
Communication is the key to solving day-to-day work problems. _____, _____, _____, and consistent communication can help prevent minor incidents from becoming major problems.
Clear, timely, constant
A supervisor should clearly and regularly inform staff members of their work responsibilities. He should ensure that they are adequately _____ and _____. He should provide _____ and regular feedback. It cannot be assumed that staff members know what is expected of them unless they have been told. “I didn’t know I was supposed to do that!” is often heard from employees charged with on-the-job misconduct.
oriented and trained
follow-up
It is important for the supervisor to keep communication open with his employees. He should meet with each one on a ____ basis. The supervisor should discuss and clarify the goals, objectives, and _______ he expects the employee to meet
regular
performance standards
The supervisor must _____. He must make sure that the employee really understands what he expects. It is also important for the supervisor to ask the employee what he expects from the supervisor. Many supervisors are surprised by the answers they receive.
listen carefully
Some supervisors discuss projects at the beginning or end of each. Others meet weekly with each employee. A successful supervisor makes sure that he and his employees are in ______ about what is expected on the job. He never assumes that an employee completely understands what he wants from him just because he told him what to do. He _____ with questions, examples, or demonstrations, if necessary.
agreement
follows-up
Who is the key element in the successful application of the corrective action process?
The Supervisor
True or False
The purpose of corrective action is to make up for sloppy supervisory techniques or actions. The purpose is to help an employee modify inappropriate actions or behavior.
False
The purpose of corrective action is not to make up for sloppy supervisory techniques or actions. The purpose is to help an employee modify inappropriate actions or behavior.
Use of the corrective action process should be governed by these principles:
- Corrective action should not be a surprise
- Corrective action should be started as soon as possible after the incident occurs
- Corrective action must be consistent
- Corrective action should be reasonable and timely
- Corrective action should be imposed as impersonally as possible
True or False
It is not the job of the supervisor to change the personalities of his employees. It is his job to maintain efficient, competent performance from his employees.
True
As a supervisor, you should be familiar with the following publications:
1) Human Resources Policies and Procedures
2) Civil Service Rules
3) Union Contracts (AFSCME, Building Trades, CODE, Fire Fighters, and Police)
4) Administrative Regulations of the City Manager
5) Bulletins from your department/division governing agency policies, operating procedures, rules and regulations
True or False
A new, or newly transferred, employee cannot be expected to instantly understand what the work standards will be on the new work site. If the work standards are not in writing, the employee may never learn all of them, until he makes the mistake of breaking one of them.
True
Before taking any corrective action, the supervisor should make as complete an investigation as possible.
As a minimum, this investigation should include the following:
1) Date, time and location of the occurrence(s).
2) Behavior or performance evidenced by the employer.
3) Consequences (results or effects) of the employee’s actions or behavior on the
employee’s performance and operations of the work unit.
4) Names of any witnesses or other employees/citizens involved in or affected by the incident.
In addition to the minimum an investigation should include, documentation should include those minimals and:
1) Response of the supervisor to the incident(s).
2) Employee’s reaction to the supervisor’s attempts to correct the situation.
Appropriate documentation also assists in determining the ________ to be assessed and shows the progressive nature of the corrective action process
appropriate penalty
Interview the employee about the problem. This is an essential part of the investigation of the situation. This interview should be conducted in _____ as soon as possible after the alleged occurrence. It is advisable to have another member of ______ present as a witness during this interview. The employee should be encouraged to fully explain the situation and any circumstances relevant to it.
private
management
True or False
During the interview, attempt to modify the employee’s behavior through counseling. Your attempts may be considered corrective action and could preclude future corrective action for this situation.
FALSE
During the interview, DO NOT attempt to modify the employee’s behavior through counseling. Your attempts may be considered corrective action and could preclude future corrective action for this situation.
The purpose of the investigation is to gather all of the relevant facts. It is not to harass or persecute an employee. Ask “who, what, when, where, and why” questions. Listen to what the employee has to say. Review the employee’s ____ ____ ____. Consider any mitigating circumstances. Record the facts.
past performance record
AN EMPLOYEE IN A _____ _____ IS ENTITLED, UNDER STATE LAW, TO REPRESENTATION FROM THEIR UNION DURING A CORRECTIVE ACTION INTERVIEW. IF AN EMPLOYEE REQUESTS SUCH REPRESENTATION, THE INTERVIEW MUST BE DELAYED UNTIL THE ______ CAN ATTEND. THIS RIGHT MAY NOT BE USED TO UNREASONABLY DELAY AN INTERVIEW.
BARGAINING UNIT
REPRESENTATIVE
What are the steps in the Corrective Action Checklist?
Background
Investigate the Situation
Interview the employee
Develop a course of action
Once a thorough and complete investigation has been made, determine a course of action. Several options are available to supervisors:
- PEAP Referral
- Use of Mild Corrective measures
- Use of Corrective Action Process
What two ways can Mild Corrective Measures be taken?
An employee may be given a verbal reprimand
An employee may be given a written reprimand
The employee should be formally notified by letter (of Administrative Hearing). An example of a notification letter is attached as Appendix 4.
The letter must contain the following minimum information:
- The date, time, and location of the administrative hearing.
- A specific statement of the charge(s) including the date(s) and time(s) when the incident(s) occurred (if applicable).
- A statement that the employee has the right to have a representative at the administrative hearing. NOTE: Certain bargaining units have specific requirements for who may represent the employee. Please see the specific labor agreement for this information.
What is the purpose of the formal notification by letter of an Administrative Hearing?
The purpose of this letter is to allow the employee to prepare a response to the allegations. It should contain specific enough information to insure that the employee knows the basis of the charges. Include specific dates, times, locations, etc.
When must the notification letter of an Administrative Hearing be sent?
The notification letter must be sent at least five working days prior to the date selected for the administrative hearing. Bargaining unit employee’s unions must receive copies of the notification letter as well. See the appropriate union contract for specific information.
In very rare cases, employees may be suspended without pay pending a hearing. In such cases the administrative hearing must be convened within ______ of the start of the suspension. This time limit may be extended by mutual agreement of the _____ and the _____ only
five days
agency and the employee
A “special case” is generally meant to be:
Something very serious that would require the removal of the involved employee for the safety of the staff, the preservation of order, or for public policy reasons
An example of a special case would be _____ or _____ _____ co-workers or the public.
fighting
physically threatening
True or False
**In regards to a “Special Case”**
If the administrative hearing results in the dismissal of the charges, pay for the suspended time will be restored to the employee.
TRUE
What happens at an Administrative Hearing?
The next step in the corrective action process is the holding of the administrative hearing, also known as a “____ _____”. The administrative hearing is held before a _____ _____ _____ .
pre-disciplinary hearing
Disciplinary Hearing Officer
The _____ _____ is a neutral ear and usually does not work for the same department as the charged employee. This ensures that the _____ _____ is not placed in a situation of potential conflict of interest regarding cases heard
Hearing Officer (x2)
True or False
The hearing officer may not question witnesses and require relevant documents to be presented. He may not call additional witnesses, and determine what is relevant to the incident or issue in question.
FALSE
The hearing officer may question witnesses and require relevant documents to be presented. He may call additional witnesses, and determine what is relevant to the incident or issue in question.
It is important to remember that an administrative hearing is not intended to be a ____ ____ . It does not require an adversarial approach nor the presentation of _____ _____
legal trial
legal evidence
The employee’s right to “due process” does not formally begin until?
An appeal is presented before the Civil Service Commission after a disciplinary penalty is imposed as a result of the administrative hearing.
True or False
There is no requirement to present the management side of the case in depth at the administrative hearing.
True
The hearing officer may conclude that the charges are _____ . He might decide that the number of charges should be reduced, or that they should stand as presented in the original letter to the employee. The hearing officer (may? or may not?) recommend an increase in the number of charges brought against the employee. There is no requirement that he must recommend a penalty
unfounded
may not
The _____ _____ will forward the recommended disposition of the case to the agency head for review and approval.
hearing officer
The ____ ____ may discuss the case with the hearing officer. The ____ ____ may modify (reduce or increase) the recommended disposition. If the ____ ____ does modify the penalty, he should provide in writing an explanation of the reasons for the modification
agency head (x3)
What is a Form 32
Notice of Disciplinary Action, Separation, or Layoff
When does Corrective Action become official?
The agency head then signs the form and it is forwarded to the Department of Human Resources for equity review and then the Departments of Law for legal review. The form is then sent to the appropriate Appointing Authority for approval. When the Appointing Authority has signed the form (Form 32), it becomes official. It is returned to the agency and it is then served on the employee.
What are the 2 steps in Corrective Action becoming official?
- Preparation of the Form 32
- Service of a Form 32
When is an Administrative Hearing not needed?
- If the employee has been absent without leave (AWOL) for at least three consecutive working days
- If the action taken against an employee is an oral or written reprimand
- If the employee fails probation
If it is administered properly, the corrective action process can increase the level of _____ and reduce ____ ____. It can assist you as a supervisor to accomplish your agency’s objectives.
performance
unacceptable behavior
