This document discusses employee conduct and discipline policies. It begins by defining conduct cases as violations of work rules like attendance, respectful treatment of others, honesty, and appropriate use of time and resources. Minor misconduct may warrant verbal counseling, while more serious issues can result in corrective action up to dismissal. The document outlines steps for investigating misconduct, determining appropriate discipline based on progressive discipline principles, and using non-punitive discipline like disciplinary letters instead of suspensions to rehabilitate employees where possible. The goal is to promptly and constructively address conduct problems while allowing rehabilitation.

1. CONDUCT

2. • Conduct cases are those where an employee fails to comply
with work rules, policies, and procedures such as arriving for
work on time; treating clients and co-workers with courtesy
and respect; being honest; maintaining a good attendance
record; following procedures for requesting time off; using
company time, supplies and property in a responsible manner;
and other similar behavior-related areas.
• Violations of these work rules, policies and procedures can
form the basis for corrective, and ultimately disciplinary
action, including dismissal.

3. What is the HRD’s / supervisor's
responsibility
regarding employee conduct?
• First, you must clearly communicate your expectations.
• Every employee must have a copy of the Company Code of
Conduct / Rules Regulation / Company Policies
• Supervisors are also responsible for monitoring employees’
conduct and for providing honest and timely feedback when
an employee fails to meet expectations.

4. What should be done if an employee
does not adhere to conduct
expectations?
• The first step is to conduct an investigation. If you have
personally observed the misconduct (e.g. an employee arrives
late for work), the investigation may consist of a simple
interview of the employee to get his/her side of the story.
• When minor misconduct occurs for the first time (e.g. an
employee is late arriving for work), and the interview of the
employee does not indicate mitigating or extenuating
circumstances which would excuse the offense, verbal
counseling is usually sufficient.

5. How does the supervisor / HR
know what to do next, and when to
do it?
• Following the concept of Progressive Discipline, you will take the
lowest level of corrective/disciplinary action that will be likely to
correct the problem. In determining the level of action to take, you
will look at the following factors:
• 1) The seriousness of the offense and the relationship to the
employees duties
• 2) The employees position and level of responsibility (i.e.,
supervisory etc)
• 3) The employee's past disciplinary record
• 4) The employee's past work record and years of service
• 5) The effect of the offense on the supervisor's confidence in the
employee
• 6) The consistency of the penalty with that imposed on other
employees
• 7) The clarity with which the employee was placed on notice
• 8) The potential for rehabilitation
• 9) Any mitigating circumstances (provocation by others, etc.)

6. What is progressive
discipline?
• One of those factors is whether the level of discipline that was
taken was appropriate under the circumstances. In making
this determination, the arbitrator expects to see that any
serious discipline was preceded by lesser discipline to place
the employee on notice that the conduct is unacceptable and
that more severe discipline may result if the conduct is not
corrected.
• This does not mean that every infraction must go through
every step of the corrective action process.
• Some forms of misconduct, such as theft, may warrant
dismissal on the first offense.

7. NON-PUNITIVE DISCIPLINE
PROGRAM DESCRIPTION
• When an employee's conduct warrants corrective action, the
supervisor/manager takes the lowest level of disciplinary action
which:
• 1) is appropriate to the severity of the employee's offense; and
• 2) is likely to result in the employee not repeating the misconduct.
• Under a traditional discipline program, minor misconduct (e.g., initial
instances of tardiness or absenteeism) is normally dealt with through
counseling confirmed in writing. Should the misconduct be repeated,
the normal progression is a letter of reprimand followed by a
suspension. Further misconduct may result in a second suspension,
demotion, or dismissal. Misconduct of a more serious nature may
result in suspension, demotion, or dismissal on the first offense.

8. • The Non-Punitive Discipline Program follows the same steps
as a traditional program with one exception – unpaid
suspensions are replaced by disciplinary letters that equate to
a suspension of a specified number of days.

9. Objectives of a Non-
Punitive Discipline
Program the Non-Punitive Discipline Program is to
• The overall goal of
improve productivity in the workplace by:
• • Correcting conduct problems promptly, rationally and
constructively
• • Alleviating the financial impact of discipline on employees'
families
• • Affording employees the ability to be rehabilitated and to
clear their records
• • Taking corrective action which is just, equitable and
sustainable

10. HOW A NON-PUNITIVE
DISCIPLINE PROGRAM
WORKS Discipline Program is designed to help correct
• A Non-Punitive
conduct and attendance problems by serving as a step in
progressive discipline.
• Normally, a Non-Punitive Discipline Program will not be used
to correct performance problems (quantity/quality of work).
• Performance problems are dealt with through counseling,
corrective action plans with performance-specific objectives
and outcomes, and performance evaluations.

11. Schematic diagram

12. • Investigation - When an incident of misconduct or an
attendance problem has been investigated and reasonable
proof has been found, the department makes a determination
regarding the appropriate level of discipline. If it is determined
that the infraction does not warrant demotion or dismissal,
but does warrant more than counseling or a letter of
reprimand, the non-punitive discipline program will be used.

13. • Intent Letter - A Skelly letter of intent is issued to the
employee stating that it is the intent of the department to
issue a disciplinary letter equating to a suspension of X days.
• This letter takes the same form as the usual Skelly letter but,
instead of proposing a suspension, proposes a disciplinary
letter equating to a suspension.

14. • Oral/Written Response - The normal Skelly process is followed, with
the employee having the opportunity to make an oral and/or
written response to the charges in the intent letter.
• a. If the employee presents information which causes the
department head to determine that the disciplinary letter is not
warranted, the case will be closed with a letter of reprimand, a
warning letter, or a letter clearing the employee of the charges, as
appropriate.
• b. If the department head determines that the disciplinary letter is
warranted, he/she will issue a decision letter, imposing the
disciplinary letter in lieu of a suspension. The decision letter itself
constitutes the disciplinary letter and a separate disciplinary letter is
not issued.

15. • The management official hearing the oral response
determines, based on the employee's response and by asking
questions, whether the employee acknowledges that the
misconduct for which he/she is being disciplined was
improper, and whether it is the employee's intent not to
repeat the misconduct.

16. REHAB OR NO REHAB?
• 1. If the employee acknowledges that his/her misconduct was
improper, and indicates the intent not to repeat the misconduct, a
rehabilitation plan is developed.
• This plan will list actions the employee will take and/or training the
employee will attend to ensure that the misconduct does not recur.
• The plan will also set a timeframe during which misconduct must
not recur.
• Once the actions laid out in the rehabilitation plan are completed
and the agreed upon timeframe has elapsed without further
misconduct, the disciplinary letter will be removed from the
employee's personnel files. At this point, the matter will be closed
and the employee will be considered fully rehabilitated.

17. • 2. If the employee does not acknowledge that his/her
misconduct was improper, and/or does not indicate the intent
not to repeat the misconduct, no rehabilitation plan will be
developed, and the letter will remain in the employee's
personnel files.

18. • Next meeting: CONDUCTING EMPLOYEE INVESTIGATIONS.