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Slide 1 :
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Employer-Employee Relations 410-767-5466 |
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When All Else Fails Imposing Discipline |
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Objectives of Discipline To change the behavior of an employee!!!
To tell employees what action will be taken; or what consequences exist when rules, policies, or procedures are not followed or performance standards are not met
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Management must follow progressive discipline unless there is a serious breach of discipline or policy. Progressive Discipline The principle by which DHMH employees are disciplined. Supervisors take appropriate disciplinary action to change behavior and increase in severity if infractions persist or get worse. |
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Progressive Discipline Like infractions are lumped together
For each subsequent infraction, the discipline is more severe |
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Disciplinary Actions Written Reprimand
Forfeiture of Annual Leave
up to 15 work days Suspension Denial of Annual Salary Increase Demotion Termination |
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Timeframes for Discipline Reprimand
30 days after the appointing authority acquires the knowledge
Forfeiture of Annual Leave
30 days after the appointing authority acquires the knowledge
Suspension
5 workdays* following the close of the employee’s next shift, after the appointing authority acquires knowledge
* Saturdays, Sundays, legal holidays, and employee leave days are excluded in calculating the 5 workday period |
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Timeframes for Discipline Denial of Annual Pay Increase
30 days after the appointing authority acquires the knowledge
Demotion
30 days after the appointing authority acquires the knowledge
Termination
30 days after the appointing authority acquires the knowledge |
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Steps of Progressive Discipline Charges
for Termination Reprimand One day suspension Three day suspension Five day suspension Ten day suspension |
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Combining Memorandum Used to combine a number of offenses
Streamline the disciplinary process |
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Prior to Imposing Discipline Investigate the alleged misconduct
Meet with the employee
Consider any mitigating circumstances
Determine the appropriate disciplinary action, if any is to be imposed
Give the employee a written notice of the disciplinary action to be taken and the employee’s appeal rights |
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Prior to Imposing Discipline * Ensure Employee’s Rights -
If the employee suspected of misconduct is a member of a bargaining unit, you need to ensure that the employee’s rights are protected. |
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Investigation Before a disciplinary action is taken a supervisor should
Have another supervisor present, taking notes
Determine what the infraction actually is
Get the employee’s side of the story
take notes or have the employee write a statement explaining what happened
Talk to witnesses
take notes or have the witness write a statement
All supervisors involved should write a summary of conversations with witnesses and employees involved
Draft a report and date it.
Remember - you only have 30 days to impose discipline. Exception - 5 workdays for suspensions. (Will be covered in another slide.) |
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Mitigating Circumstances Conference This is an opportunity for the employee to explain to management why they should not be disciplined.
Do NOT have the discipline (MS-4A) already prepared, signed and visible to the employee.
If you do, the employee is likely to withhold vital information. |
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Department of Budget and Management
Office of Human Resources
301 West Preston Street
Baltimore, Maryland 21201
NOTICE OF DISCIPLINARY ACTION To Employee: You or your representative may appeal this disciplinary action to the Cabinet
Secretary of your department (If your agency is not headed by a Cabinet Secretary,
appeal must be made to the agency head). The appeal must be in writing and filed
within 15 calendar days after your receipt of this written notice.
To Agency: COMPLETE IN DUPLICATE. Give one copy to the employee; and retain one copy
for your files.
FOR ACTIONS MARKED WITH AN ASTERISK (*), submit a MS-310 processing
form with a copy of this notice to the Department of Budget and Management’s
Office of Human Resources, Personnel Transactions Unit.
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Name of Employee Classification Social Security Number
Check appropriate box and complete:
is reprimanded
* forfeits ____Annual Leave days.
* is suspended without pay for ___work days from ___________ through _____________.
* is denied an annual pay increase effective ____________________________________.
* is demoted to ______________at ________________ effective ___________________.
(Classification) (Salary Level)
is placed on emergency suspension effective _______________ through ____________.
DATE OF INCIDENT WHICH PROMPTS THIS DISCIPLINE: ______________________.
DATE WHEN INCIDENT WAS DISCUSSED WITH THE EMPLOYEE: ______________.
REASON FOR DISCIPLINE: (Explain in full)
Copy to Employee: _____________________________ ? In Person ? Mailed
____________ ____________________ _____________________________________
(Date) (Name of Department) (Name and Signature of Appointing Authority) Bill Employee Boiler Operator 000-00-0000
X
February 6, 2003
February 7, 2003
Did not report for duty until 9:15 AM. Employee’s duty hours are 8:30 AM to 5:00 PM.
February 8, 2003 X
DHMH |
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Department of Budget and Management
Office of Human Resources
301 West Preston Street
Baltimore, Maryland 21201
NOTICE OF DISCIPLINARY ACTION To Employee: You or your representative may appeal this disciplinary action to the Cabinet Secretary of
your department (If your agency is not headed by a Cabinet Secretary, appeal must be
made to the agency head). The appeal must be in writing and filed within 15 calendar
days after your receipt of this written notice.
To Agency: COMPLETE IN DUPLICATE. Give one copy to the employee; and retain one copy for
your files.
FOR ACTIONS MARKED WITH AN ASTERISK (*), submit a MS-310 processing
form with a copy of this notice to the Department of Budget and Management’s
Office of Human Resources, Personnel Transactions Unit.
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Name of Employee Classification Social Security Number
Check appropriate box and complete:
is reprimanded
* forfeits ____Annual Leave days.
* is suspended without pay for ___work days from ___________ through _____________.
* is denied an annual pay increase effective ____________________________________.
* is demoted to ______________at ________________ effective ___________________.
(Classification) (Salary Level)
is placed on emergency suspension effective _______________ through ____________.
DATE OF INCIDENT WHICH PROMPTS THIS DISCIPLINE: ______________________.
DATE WHEN INCIDENT WAS DISCUSSED WITH THE EMPLOYEE: ______________.
REASON FOR DISCIPLINE: (Explain in full)
Copy to Employee: _____________________________ ? In Person ? Mailed
____________ ____________________ _____________________________________
(Date) (Name of Department) (Name and Signature of Appointing Authority) Bill Employee Boiler Operator 000-00-0000
X 1 Feb. 25, 2003 Feb. 25, 2003
February 22, 2003
February 24, 2003
You reported to work at 9:30 AM. Your work hours are 8:30 AM to 5:00 PM.
You received a written reprimand for lateness on Feb. 8, 2003.
February 24, 2003 X
DHMH |
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Responsibilities of the Appointing Authority |
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Responsibilities of the Appointing Authority PRIOR TO IMPOSING DISCIPLINE
Investigate the alleged misconduct
Meet with the employee
Consider mitigating circumstances
Determine the appropriate discipline; if any
Give the employee written notice
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Responsibilities Of The Appointing
Authority After Imposition of Discipline
Employee & Appointing Authority can agree to: Hold discipline in abeyance
- For a period not longer than 18 months
to allow the Employee to improve
Lesser discipline as a final & binding action |
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Responsibilities Of The
Appointing Authority
May terminate probationary employees Demote promotional probationary employees Return promotional probationary employee to
previous job.
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Responsibilities Of The Appointing Authority Disciplinary Actions Hear Mitigating Circumstances Sign Notice of Disciplinary Action (MS 4-A) Investigate the alleged misconduct Consider mitigating circumstances Determine the appropriate disciplinary action. |
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Responsibilities of the
Appointing Authority
Grievance Process
The process is initiated with the appointing authority 10 days after receiving the grievance
10 days after the hearing, issue a written decision |
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Collective Bargaining |
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Collective Bargaining Agreement
Memorandum of Understanding (MOU) Includes the agreement of the parties on the standards of wages, hours and other terms and conditions of employment. Each bargaining unit has a collective bargaining agreement. |
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Collective Bargaining Agreement If the employee or the union representatives believe management has violated the agreement; there is a Dispute Resolution Process.
(This is different from the Grievance Process) |
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Employee MOU Rights In the following situations, the employee must be granted the right to Union representation if requested by the employee :
You interview that employee because you suspect him/her of misconduct (prior to imposition of discipline)
At any disciplinary hearing or discipline related discussion with the employee
The employee must be given reasonable notice to obtain Union representation (not less than one hour) |
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Grievance Process
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Grievance Process Management bears the burden of proof
management presents its case first
Employee bears the burden of proof
employee presents his/her case first |
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Reprimand
Forfeiture of Annual Leave
Suspension
Denial of Annual Pay Increase
Demotion
Termination Burden of Proof Employer |
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Grievances
Discipline of an employee in the executive or management service, or under special appointment
Discipline of an employee on probation in the skilled and professional services, following initial appointment Burden of Proof Employee |
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Witnesses Both sides (employee/management) can call witnesses
Witnesses are asked questions by both sides
Witnesses receive Administrative Leave (or are counted as working) to attend hearings
Witnesses can be sequestered |
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Management Representatives Assist the Employee Relations Officer during the hearing
can suggest questions
verify whether a witness’s testimony is accurate and truthful
advise of inaccurate statements by the witness, or advise of need to rebut statements
Can be a witness |
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The End The End |
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