Ohio Turnpike Supervisory Development Program presentation. Topics included absenteeism, attendance, disruptive employees, discrimination, workplace violence, harassment, reasonable suspicion

1. Addressing Difficult
Issues with Confidence
Robin Carlin
Ohio Turnpike Supervisory
Development Program Presentation

2. “Common” Difficult Issues
• Absenteeism
• Attendance
• Tardiness
• Leaves of Absence
• Accommodating
Employees
• Workplace Violence
• Disruptive Employees
• Disrespectful Behavior
• Discrimination
• Favoritism
• Harassment
• Interpersonal Conflict
• Reasonable Suspicion

3. Discipline
I’m friends with everybody in this office.
We’re all best friends. I love everybody
here. But sometimes your best friends
start coming into work late and start having
dentist appointments that aren’t dentist
appointments, and that is
when it’s nice to let them
know that you could beat
them up.
Michael Scott, The Office

4. Discipline
Purpose
The purpose of discipline is not
to punish an employee. It is an
attempt to work with the
employee to stop improper
conduct.
Always focus on the conduct and
not the person.
Progressive Discipline
• Counseling/Caution &
Instruction
• Verbal/Oral Reprimand
• Written Reprimand
• Unpaid Suspension
• Termination
Other forms:
• Demotion/Reduction
• Working Suspension
• Reassignment

5. Discipline & Documentation
Why Document?
• If it was not
documented, it
didn’t happen.
• If it was not
documented at
or near the time of
the event, it is
not reliable.
• If the documentation
is incomplete or
inaccurate it is not
reliable.
Elements
• Written, dated and timely
• Factual and specific (what
exactly happened, who was
involved, where did it
happen)
• Objective – focus on the
job-related behavior and
standards, rule or policy
violated
• Not speculative (If I were to
guess, the employee…)
• No editorial comments, no
inappropriate remarks

6. Discipline: 7 Tests of Just Cause
1. Reasonable rule or order. Was the employer’s
rule or order reasonably related to the orderly,
efficient and safe operation of the employer’s
business and the performance the employer
might properly expect?
2. Notice. Did the employer give the employee
forewarning of the possible consequences of
the disciplinary conduct?
3. Effort to determine if there was a violation.
Before administering discipline, did the
employer make an effort to find out if the
employee did violate or disobey a rule or
order?

7. Discipline: 7 Tests of Just Cause
4. Fair and objective investigation. Was an investigation
conduct, individuals interviewed, written statements?
5. Proof/Substantial Evidence.
Was there sufficient evidence
to support a finding of guilt?
6. Equal Treatment. Has the employer applied its rules,
orders and penalties evenhandedly and without
discrimination?
7. Appropriate penalty. Was the degree of discipline
reasonably related to seriousness of the offense?

8. Discipline: Mitigating Factors
• Tenure/Seniority of the employee
• Management contribution to the
problem/other employee(s)
aggravating situation
• Employee remorse/
willingness to atone
• Personal circumstances
(custody battle, divorce,
financial problems)
• Previous discipline/clean record
• Whistleblowing/statutory
protections

9. Knowing the Difference between a
Difficult Employee vs. Difficult Situation
• Workplace Violence – know the policy,
what it encompasses and don’t gloss over it.
• Workplace Disruption –
handling an employee who
is slowing the work down,
lowering the morale,
purposefully creating
tension in the workplace
or with their supervisor.
• Disrespectful Behavior –
stop it before it becomes
infectious.

10. Difficult Disciplinary Issues
– Willful refusal to follow a
direct order vs. just being a
pain.
– Rule of 3 followed – give the
order, explain that refusal to
follow direct order will result
in insubordination, explain
that the employee has now
refused and their refusal will
result in a charge of
insubordination and do they
understand this (immediate
termination Article 9).
– Clear instructions with
consequences explained. Do
not rush to discipline or this
may be viewed as escalating.
Insubordination vs. Disrespectful Behavior

11. Difficult Disciplinary Issues
Addressing Insubordination:
• Remain calm – speak a
little softer so the
employee has to lean
in to hear
• Do not argue – conflict
has already escalated
• Do not retaliate – you are
a supervisor and held to
a higher standard
• When possible, obtain
a witness
• Document immediately

12. Difficult Disciplinary Issues
Attendance
• Unscheduled absenteeism costs
employers 8.7% of their payroll
costs per year (money paid out
to employees through wages
and benefits). Indirect costs
include overtime, hiring
additional labor, lost
productivity, low morale,
employee fatigue for carrying
extra work, customer
dissatisfaction, and loss of
revenue.
• Unscheduled absenteeism rate
in the U.S. is 9% - that’s nearly
one in ten workers off work.

13. Difficult Disciplinary Issues
Attendance
• Personal illnesses account for
35% of unscheduled absences,
while other reasons include
family issues (22%), personal
needs (18%), entitlement
mentality (13%) and stress
(13%).
• Nearly one-third of working
Americans between ages 19
and 64 suffer from at least one
chronic disease.
• The use of intermittent FMLA
leave has increased 150% since
2000.

14. Difficult Disciplinary Issues
Attendance & Tardiness
• 20% of American
workers are late to
work at least
once/week; one in ten
workers are late at
least twice/week.
• December is the
leading month for
employees to call in
sick (Happy Holidays!).

15. Questioning Absences
Legitimacy or Necessity for
Leave
• Does the request fall under
the reasons outlined in the
policy or CBA?
• How many times has the
employee called in sick the
past 12 months?
• Could this be a valid reason
under FMLA?
• Can the “appointment” be
scheduled outside normal
working hours?
Documentation/Verification
• Will the employee be off for
less than 3 work days?
• Has the appropriate
medical documentation
been requested and/or
submitted?
• Does the documentation
look authentic?
• Has a pattern of absences
been developed? If so, has
HR already sent out a
notification letter or should
a referral be made to HR?

16. Vacation Leave:
Require advance notice,
where practical. Limit #
of people off in your
department/division per
the contract or policy.
Unpaid Leaves of Absence
• General acceptable reasons include
sickness/illness or injury, when all
FMLA and S&A eligibility has been
exhausted and the employee is
expected to return to work.
• All sick leave, vacation leave, and “H”
days must be used before unpaid
leave will be considered. Exception is
bargaining unit employees are not
required to exhaust vacation leave if
the absence is FMLA-related.
• See also Policy 3.8 of the Employee
Manual and Article 13 of the CBA.
• Approval for unpaid leave will
generally not exceed 30 days and will
only be in extraordinary cases.
Personal Leave
2 days/year for
bargaining employees.
Can you cover
employees for
requested time off?

17. How to Address Absenteeism
• Review the employee’s absences and meet
individually with him/her to bring forth
concerns regarding absenteeism.
• Identify the causes for an employee’s
absenteeism – if you can find out why,
you can more effectively deal with the
problem and possibly find a solution.
• Require verification of illnesses –
don’t be afraid to request supporting
documentation.
• Identify and address pattern
absenteeism – if you notice a pattern is
forming, request HR assistance.
• Follow-up – if improvement occurs,
be sure to tell the employee. If not, be
prepared to take next steps.

18. Investigations
• All investigations are taken
seriously.
• Facts will be gathered.
• List of witnesses and affected
parties will be prepared.
• Who, what, when, where and
why will be answered.
• Determine whether or not
other individuals have been
subjected to similar situations.
• Interviews will be conducted
and/or statements obtained
from the alleged victim,
alleged harasser/instigator,
and any witnesses.

19. Investigations
• Determine whether this
behavior had been reported
before, and if there was a past
pattern of this type of
behavior.
• Consider the severity,
frequency, pervasiveness of
the conduct when
recommending or imposing
discipline.
• Investigation is not
“confidential” but is kept to a
“need to know” basis.
• Remind all parties involved in
the investigation of the
Commission’s policies and to
report any additional
information – discuss issue of
retaliation.

20. Investigations & Discipline
• Investigation report completed (4th Test of
Just Cause)
• Recommendation to discipline made.
• Pre-disciplinary hearing scheduled, if
applicable. Weingarten rights must be given.
• Level of discipline recommended:
– Reprimands Supvr./Dept. Head
– Suspensions Director of Administration
– Terminations Director of Admin, General
Counsel, Executive Director

21. Alcohol & Drug Testing Process
Review Supervisory Training Guide to the
Drug & Alcohol Process.

22. Reasonable Suspicion
Testing conducted after there is reasonable cause for
suspicion of using or being under the influence of
drugs or alcohol at work.
• Testing based upon observable signs and symptoms
of possible drug/alcohol use.
• Testing conducted during a time when individual
exhibits signs and symptoms.
• Not based upon second hand reports.
• Preferable if the decision to test is made by 2
supervisors who concur.

23. Reasonable Suspicion Steps
• Observation/Documentation
• Notification to individual
• Consent or refusal
to consent
• Transportation of
individual to testing facility
• Specimen collection
• Documentation to HR
• Test result notification
to HR
• Outcome

24. Grievances
• What is a Grievance? See also Article 11.
– Misunderstanding, misapplication or
miscommunication of an Article in the CBA.
– An opportunity to improve communications
between Commission and Union or between
Supervisor and Employee.
• General Rule:
Follow orders now grieve later.
– Exception:
safety and health

25. Grievance Process
• Step 1 – formal and informal,
grievance presented to and
answered by Foreman or
Toll Plaza Supervisor.
• Step 2 – formal, grievance
answered by Division
Superintendent or District
Toll Plaza Supervisor.
• Step 3 – formal, grievance
answered by the Director of
Administration.
• Pre-Arbitration – informal,
grievance reviewed by General
Counsel and possible settlement
or movement to arbitration
discussed with Union.

26. Avoiding Grievances
• Establish and respect lines of communication
with your employees and be familiar with their
concerns.
• Be open and communicate with employees –
letting them know what’s going on (within
limits).
• Listen to employees. Oftentimes, employees
just need to vent. Use this as an opportunity
to improve communications.

27. Avoiding Grievances
• Be fair and consistent.
Follow the contract and
treat all employees the
same with respect to
rules and rule
violations.
• Read and be familiar
with the labor contract.
• Do not discuss
sensitive employee
issues with other
employees.
• Praise employees,
when appropriate.

28. Thank you!