1. KEYS Keys to Enhance Your Supervisory Success Taking Disciplinary Action

2. KEYS – Keys to Enhance Your Supervisory Success University of California, Berkeley

3. KEYS – Keys to Enhance Your Supervisory Success University of California, Berkeley Learning Objectives What you will learn:  The types of disciplinary action and ways to determine which ones are appropriate  Seven Tests of Just Cause as a framework for disciplinary action  Practice having investigatory conversations

4. KEYS – Keys to Enhance Your Supervisory Success University of California, Berkeley Agenda  Introduction  Setting the Context  Seven Tests of Just Cause  Case Study – Investigatory Interview Practice  Disciplinary Alternatives  Risk Management  Other Resources  Keys to Taking Disciplinary Action  Learning Review

5. KEYS – Keys to Enhance Your Supervisory Success University of California, Berkeley Core Competencies  Key Learning Points and the Core Competencies:  Inclusiveness  Equitable of analysis of performance  Equitable administration of discipline  Managing people  Communicate performance expectations  Provide consequences for failure to meet expectations  Problem solving  Analysis of performance problem. What is it and cause?  Determine appropriate solution (training, coaching, discipline, etc.?)  Communication  Clearly communicate performance expectations  Provide specific feedback to guide employee

6. KEYS – Keys to Enhance Your Supervisory Success University of California, Berkeley The Five Questions Employees Ask Themselves that Most Affect Retention 1.Do I know what is expected of me at work? 2.Do I have the resources to do my job? 3.Do I have the opportunity to do what I do best every day? 4.Does my supervisor, or someone, care about me as a person? 5. At work, does my opinion count? From the Gallup Survey of 100 Best Places to Work

7. KEYS – Keys to Enhance Your Supervisory Success University of California, Berkeley Definition of “Taking Disciplinary Action”  T aking disciplinary action is an orderly process designed to correct performance deficiencies or unacceptable conduct in the workplace.  The desired result is correction of problems and adherence to performance standards and work rules.

8. KEYS – Keys to Enhance Your Supervisory Success University of California, Berkeley Taking Disciplinary Action Guiding Principles  In carrying out disciplinary action be sure to:  Keep the disciplinary process confidential.  Diagnose the problem.  Provide specific examples.  Allow employee opportunity to explain.  Make sure discipline is the appropriate tool.  Make sure “the punishment fits the crime.”  Provide specific recommendations for improvement.  Communicate the consequences if performance or conduct does not improve.  Discipline is to be constructive, not punishment.

9. KEYS – Keys to Enhance Your Supervisory Success University of California, Berkeley

10. KEYS – Keys to Enhance Your Supervisory Success University of California, Berkeley The Seven Tests of Just Cause 1. Reasonable Rule or Work Order 2. Adequate Notice 3. Sufficient Investigation 4. Fair Investigation 5. Proof 6. Equal Treatment 7. Appropriate Penalty

11. KEYS – Keys to Enhance Your Supervisory Success University of California, Berkeley The Seven Tests of Just Cause Reasonable Rule or Work Order 1. Reasonable Rule or Work Order  Is the rule clear?  Is it applied consistently?  What is your department’s past practice for discipline? 2. Notice  Did the employee receive notice?  How was the employee made aware of it?  What evidence do you have that the employee is aware of it?  Has this issue been raised before?  Prior notice may not be necessary in cases of serious misconduct.

12. KEYS – Keys to Enhance Your Supervisory Success University of California, Berkeley (continued) The Seven Tests of Just Cause (continued) Sufficient Investigation 3. Sufficient Investigation  Did you investigate performance problems as well as conduct issues?  Are there witnesses?  Are there written records, processes or procedures that have a bearing on the case? Is there equipment that should be examined? Do you need to call Audit and Advisory Services (formerly Internal Audit) or the campus police? Was the Weingarten right to representation granted?

13. KEYS – Keys to Enhance Your Supervisory Success University of California, Berkeley (continued) The Seven Tests of Just Cause (continued) Fair Investigation 4. Fair Investigation Was the investigation prompt? Who should conduct the investigation? Should the employee remain on the work site during the investigation? Have you tried reconciling conflicting statements and evidence? Did you talk to the employee?

14. KEYS – Keys to Enhance Your Supervisory Success University of California, Berkeley Characteristics of An Effective Investigation  Prompt  Planned and Organized  Thorough and Complete  Objective  Confidential  Adequately Documented

15. KEYS – Keys to Enhance Your Supervisory Success University of California, Berkeley (continued) The Seven Tests of Just Cause (continued) 5. Proof Did you find proof of misconduct and performance discrepancy? Are your conclusions clearly supplied? Is evidence substantial?

16. KEYS – Keys to Enhance Your Supervisory Success University of California, Berkeley (continued) The Seven Tests of Just Cause (continued) 6. Equal Treatment Are work rules applied consistently? Are all employees held accountable? Have similarly situated employees (similar records and infractions) received the same discipline? What is your department’s past practice? Are you disciplining the worst offenders?

17. KEYS – Keys to Enhance Your Supervisory Success University of California, Berkeley (continued) The Seven Tests of Just Cause (continued) 7. Appropriate Discipline Does the punishment fit the crime? Is punishment related to the employment record (length of service and performance)? What is employee covered by (CUE, UPTE, etc.)?

18. KEYS – Keys to Enhance Your Supervisory Success University of California, Berkeley Disciplinary Alternatives  Oral Warning  Written Warning  Suspension Without Pay  Reduction of Pay Within a Class  Demotion to a Lower Classification  Dismissal

19. KEYS – Keys to Enhance Your Supervisory Success University of California, Berkeley Five Steps to Meeting Skelly Requirements  Employee performs unsatisfactorily or engages in misconduct  Supervisor issues intent letter  Intended action is reviewed at next level  Final action is determined  Employee is notified of final action

20. KEYS – Keys to Enhance Your Supervisory Success University of California, Berkeley Risk Management  Release during probation  More likely to correct unacceptable performance  More likely to inhibit unacceptable performance in others  Reduces grievances & litigation  If litigation, UC more likely to prevail

21. KEYS – Keys to Enhance Your Supervisory Success University of California, Berkeley Other Resources  Applicable personnel policies and union contracts  Employee Relations unit in Human Resources, or your representative in your shared services center  Ombudspersons for staff  CARE Services for Faculty and Staff  University Extension ESL classes

22. KEYS – Keys to Enhance Your Supervisory Success University of California, Berkeley The KEYS  Things a Supervisor Needs to Know:  Make decisions during probationary period  Establish & communicate clear performance expectations  Make sure discipline is the appropriate tool (vs. coaching, etc)  Discipline is to correct performance deficiencies or unacceptable conduct – not to punish  Discipline must be administered progressively unless it is for misconduct (e.g. theft, fighting, etc)  Conduct a sufficient and fair investigation of performance problems as well as misconduct issues

23. KEYS – Keys to Enhance Your Supervisory Success University of California, Berkeley The KEYS continued…  Things a Supervisor Needs to Know:  Provide specific examples of performance deficiencies so employee understands what needs correction  Make sure you are treating similarly situated employees equitably  Make sure the discipline is appropriate to the deficiency or infraction  Discipline is a communication tool for supervisors and is to be kept confidential

24. KEYS – Keys to Enhance Your Supervisory Success University of California, Berkeley On-the-Job Application Action Plan What do you commit to do on-the-job to integrate lessons learned today? Be specific.  Action Items 1. Provide an employee with constructive feedback 2. Item 2 3. Item 3  Time Frame 1. Within one week of this class 2. When 3. When Track Series: Be prepared to discuss at your Manager Check-in Meeting and Peer Consulting Group.