Employer-Employee
Employer-Employee
Relations
Relations
Imposing Discipline
When All Else Fails
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
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.
Management must follow progressive discipline unless
there is a serious breach of discipline or policy.
Progressive Discipline
Like infractions are lumped together
For each subsequent infraction, the discipline is
more severe
Disciplinary Actions
•Written Reprimand
•Forfeiture of Annual Leave
up to 15 work days
•Suspension
•Denial of Annual Salary Increase
•Demotion
•Terminatio
n
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
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
Steps of
Progressive
Discipline
Charges
for Termination
Ten day suspension
Five day suspension
Three day suspension
One day suspension
Reprimand
Combining Memorandum
Used to combine a number of offenses
Streamline the disciplinary process
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
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.
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.)
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.
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.
Bill Employee Boiler Operator 000-00-0000
Name of Employee Classification Social Security Number
Check appropriate box and complete:
X
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: ______________________.
February 6, 2003
DATE WHEN INCIDENT WAS DISCUSSED WITH THE EMPLOYEE: ______________. February 7, 2003
REASON FOR DISCIPLINE: (Explain in full)
Did not report for duty until 9:15 AM. Employee’s duty hours are 8:30 AM to 5:00 PM.
February 8, 2003
Copy to Employee: _____________________________ X
In Person Mailed
____________ DHMH
____________________ _____________________________________
(Date) (Name of Department) (Name and Signature of Appointing Authority)
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.
Bill Employee Boiler Operator 000-00-0000
Name of Employee Classification Social Security Number
Check appropriate box and complete:
is reprimanded
* forfeits ____Annual Leave days.
X* is suspended without pay for ___work
1 days from ___________
Feb. 25, 2003 through _____________.
Feb. 25, 2003
* is denied an annual pay increase effective ____________________________________.
* is demoted to ______________at ________________ effective ___________________.
(Classification) (Salary Level)
is placed on emergency suspension effective _______________ through ____________.
February 22, 2003
DATE OF INCIDENT WHICH PROMPTS THIS DISCIPLINE: ______________________.
DATE WHEN INCIDENT WAS DISCUSSED WITH THE EMPLOYEE: ______________. February 24, 2003
REASON FOR DISCIPLINE: (Explain in full)
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
Copy to Employee: _____________________________ XIn Person Mailed
____________ DHMH
____________________ _____________________________________
(Date) (Name of Department) (Name and Signature of Appointing Authority)
Responsibilities of the
Appointing Authority
Responsibilities of the
Appointing Authority
PRIOR TO IMPOSING DISCIPLINE
•Investigate the alleged
misconduct
•Meet with the
•employee
Consider mitigating
•Determine the appropriate discipline; if
circumstances
•Give the employee written
any notice
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
Responsibilities Of The
Appointing Authority
•May terminate probationary employees
•Demote promotional probationary employees
•Return promotional probationary employee to
previous job.
Responsibilities Of The
Appointing Authority
Disciplinary Actions
•Investigate the alleged misconduct
•Hear Mitigating
Circumstances
•Consider mitigating
circumstances
•Determine the appropriate disciplinary action.
•Sign Notice of Disciplinary Action (MS 4-
A)
Responsibilities of the
Appointing Authority
Grievance Process
•The process is initiated with the appointing authority
•10 days after receiving the
•10 days after grievance
the hearing, issue a written decision
Collective
Bargaining
Collective
Collective Bargaining
Bargaining
Agreement
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.
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)
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)
Grievance Process
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
Burden of Proof
Employer
Reprimand
Forfeiture of Annual Leave
Suspension
Denial of Annual Pay Increase
Demotion
Termination
Burden of Proof
Employee
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
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
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
