SUNY University-Wide Human Resources Manual
Counseling and Discipline
by Governor's Office of Employee Relations

Correcting Unacceptable Behavior

1. When measuring employee behavior against acceptable performance standards, some behavior is considered unacceptable.
   It may:
   • relate to manner in which an employee performs the job.
   • involve behavior sometimes characterized as "misconduct".
   
   

   Examples include:

   1. Repeated tardiness
   2. Patterns of unscheduled absences
   3. Errors
   4. Insubordination
   5. Rudeness to co-workers or excessive arguments with co-workers

Identifying the Problem

1. What is the problem?
   Compare the actual and desired performance.
2. Is the employee part of the problem?
   • Does employee have the skills and ability to perform?
   • Is employee aware of expectations of the job?
   • Does employee disagree with normal work policies, i.e., workload, assigned class schedule, arriving to work on time, cooperating with others?
   • Is the employee troubled by the work environment, i.e., unfair treatment, inadequate office space?
3. Are you, the supervisor, part of the problem?
   • Have you clearly communicated performance expectations?
   • Are you making conflicting or competing demands?
   • Have you made available all pertinent policies, procedures, and instructions?
   • Have you provided clerical support, equipment and supplies necessary to accomplish the assignment?

What can you do as Supervisor about Unacceptable Employee Behavior?

1. Communicate your expectations to the employee.
2. Counsel the employee.
3. Summarize the counseling session in writing.
4. Evaluate and follow up to see if performance has improved.
5. If performance has not improved, recommend formal disciplinary action.

What is a Counseling Session?

1. Counseling session is an indispensable part of supervision if the job is to be done effectively. It will include:
   • Discussion about performance deficiency or problem
   • Discussion of job-related behavior and the employee’s attempt to improve it
   • Prompt action once the problem surfaces
   • Private discussion between you and employee; no union representative needs to be included as you are not contemplating discipline.
2. Counseling Session does not have to be followed up with a counseling memo.

Guidelines for Conducting a Counseling Session

1. Use the following guidelines when conducting a Counseling Session:
   • Explain the nature of your concern, clarifying what has been observed. Include dates/facts.
   • Give the employee an opportunity to explain his or her version.
   • Discuss ways an employee can overcome a performance shortcoming.
   • Whatever the cause of the unacceptable behavior, make sure that it is clear that it can’t continue.
   • Reach an understanding on corrective action each of you will take and set a definite follow-up date.
   • Never characterize the counseling session as "discipline."
   • If you plan to follow the counseling session with a counseling memo tell the employee during the session. (Remember, not all counseling sessions require a memo.)

1. Use the following guidelines when writing a Counseling Memo:

• Include only the matters that were discussed in the Counseling Session. A Counseling Memo is a summary of the Counseling Session.
• Include a statement of the reason for the meeting, employee’s response to your concerns, and provisions for follow up.
• State the effect of the problem on the work environment or the employee’s performance.
• Show on the memo the names of those people who will receive a copy. Employee has a right to respond to the memo in writing as it can be placed in the personal history folder with the original memo.
• Do not include such statements as "further disciplinary action will occur."

1. If counseling sessions or counseling memos are ineffective in improving performance and the unacceptable behavior continues, formal disciplinary action may be appropriate.
2. Disciplinary action is imposed for employee misconduct or incompetency according to the negotiated agreements/contracts for represented employees, in accordance with Section 75 of the Civil Service Law for classified service M/C employees, and in accordance with SUNY’s internal grievance procedure for SUNY Professional Service M/C employees. The burden of proving employee incompetence or misconduct lies with the official or supervisor who filed the written charges.

   Misconduct includes, i.e.,:

• acts of insubordination
• poor attendance affecting co-workers or students
• fraudulent practices
• falsification of records
• acts of assault, intimidation or harassment
Incompetence includes, i.e.,:
• incomplete assignments
• habitually missed deadlines

What is Disciplinary Action?

1. Disciplinary Action is a method of correcting unacceptable behavior or performance and is:
• intended to be progressive---the severity of the penalty becomes greater if the employee continues to show unacceptable behavior or performance.
• fair and equitable---penalty should fit the severity of the problem and employees behaving in an unacceptable manner should be treated the same.
• a means of imposing a severe penalty on first offense if activities are recognized as illegal or unethical, i.e., destruction or theft of State-owned property, physical assault.

What is the Supervisor’s Role in the Formal Disciplinary Process?

1. A responsible chairperson will:
• Understand the seriousness of the problem
• Recognize the duration of the continuing problem
• See discipline infractions as an emerging or continuing pattern
• Know employees work history and quality of performance
• Provide opportunity for employee to have full knowledge of the rules
• Make sure rules are consistently enforced
• Make sure discipline practices are consistent
• Be aware of impact on other employees when enforcing discipline
• Keep documentation/records of all problems and attempts to seek improvement

Possible Penalties to Propose for Unacceptable Behavior

1. Written "official reprimand"
• Used when less formal efforts have failed
• May be appropriate penalty for infraction which serious but not critical
2. Fine – less than $200
• Progressive, more serious penalty than reprimand
3. Suspension Without Pay>
   • Appropriate where employee must be removed on a short term basis
4. Dismissal
• Applied for most serious offenses
• Final step after having tried all else

1. Notice of Discipline is issued by President’s designee and:
   • Specifies the charges and the penalty to be invoked
   • Outlines the employee’s right to grieve and how he can exercise this right
   • Employee accepts the penalty or appeals to agency level review
   • No penalty is invoked until one of following events occur:
   1. employee withdraws the grievance
   2. a settlement is reached
   3. an appropriate penalty is determined by an arbitrator.
   4. employee fails to grieve within specified time

Employee's Rights during the Disciplinary Process

1. An employee has the right to:
   • representation by union or private counsel at all steps of the procedure.
   • advance notice and union representation when subject to interrogation where discipline is contemplated or in progress.
   • union representation when employee is requested to sign a statement regarding misconduct or incompetency.

 NYS Governor’s Office of Employee Relations Document
last update (SUNY): Tuesday, June 29, 2004