1. Enforcing Discipline in the
Workplace
JANUARY 22, 2014
3:00PM
HUMAN RESOURCE MANAGEMENT FOR
ABORIGINAL AND NORTHERN COMMUNITIES
YELLOWKNIFE, NWT
LISA PECKHAM
3. Purpose of Discipline
3
Enforce the standards and rules valued by
management
Provide feedback to employees and management
Create a fair workplace for all by having a consistent
disciplinary program that everyone follows
4. Creating a positive work environment
4
Defining a positive work environment
10 ways to create a positive work environment
Tools employees need to maintain a positive work
environment
Benefits of a positive work environment
5. Defining a positive work environment
5
“A positive work environment is a place where
employees are happy and motivated.”
White, 2002; HRZone, 2000
6. 10 ways to create a
positive work environment
6
Build trust
Be approachable
Open communication
Positive physical
Set expectations
environment
Good performance
management process
Have fun
Team building
Recognition
Give credit and take
responsibility
7. Tools for employees
7
Clear policies
Clearly communicated expectations
Opportunities to practice desirable behaviours
Opportunities to participate
Communication skills
8. Benefits of a positive work environment
8
Improved morale
Better employee performance
Increased productivity
Cohesive teams
Higher retention rates
Fewer sick days
Fewer workplace accidents and injuries
More likely to achieve organizational goals
More creativity and innovation
10. Defining performance management
10
“Performance management is the process of creating a
work environment in which employees are enabled
to perform to the best of their abilities. It is a work
system that begins when a job is created and ends
when an employee leaves the organization.”
www.humanresources.about.com
It is designed to “motivate employees through setting
goals, measuring progress, giving feedback, coaching
for improved performance, and rewarding
achievements”.
www.toolingu.com
11. Elements of performance management
11
Clear and accurate job descriptions
Clearly communicated performance standards
Clearly communicated desired performance
outcomes and measures
On going coaching and feedback
Regular formal performance reviews
Effective compensation and recognition systems that
reward people for performance and contribution
13. Workplace discipline
13
The process of correcting a lapse of conduct and
returning an employee to the desired standard of
conduct
Sometimes referred to as corrective action
Used after the employer has attempted to address
the undesirable behaviour through training,
coaching, counselling, and mentoring
Used only for culpable behaviour
Culpable behaviour is when the employee is aware of the rules
and expectations AND is capable of meeting them but makes a
different choice
14. Elements of workplace discipline
14
Communicated
Progressive
Fair
Consistent
Documented
15. Successful workplace discipline
15
Employee no longer engages in the undesirable
behaviour
Employee improves their overall conduct to meet
acceptable standards
Other employees are discouraged from engaging in
the undesirable behaviour
Other employees improve their overall conduct to
meet acceptable standards
Workplace environment continues to be positive
16. Know which tool to use
16
Performance management
To help employee develop competence
To help employee meet goals and objectives
Workplace discipline
Behaviour causes workplace disruption
Violation of rules, policies, and procedures
Engaging in illegal behaviour
Violence or harassment
17. Creating workplace discipline policies
17
Define the purpose of the policy
Ensure rules are clearly stated, fair, and accurate in
the Employee Handbook
Ensure that expectations and consequences are
clearly stated
Classifying misconduct
Misconduct or Serious misconduct
Determine type of discipline to be used
18. Purpose of the policy
18
Document the purpose of the workplace discipline
policy
To communicate expectations regarding behaviour and
conduct
To uphold organizational rules and standards
To provide fairness through transparency and consistency
To create a record of events
To create an action plan to help the employee improve their
behaviour or conduct
19. Employee Handbook
19
Review the most current version of the employee
handbook to ensure that it contains the information
employees need to be successful in the workplace
Ethics and conduct
Conditions of employment
Substance use
Unauthorized absence
Harassment
Cyber conduct
Health and safety
20. Expectations and consequences
20
Expectations for conduct and behaviour should be
stated within the Employee Handbook and restated
regularly, verbally and in writing
Employees should understand the consequences of
misconduct and undesirable behaviour
List specific consequences within the same document that
states behaviour and conduct expectations
Statements of consequences should include steps that will be
taken within the workplace discipline policy
21. Classifying misconduct
21
Misconduct
Carelessness without intent
No direct challenge to authority
Serious Misconduct
Insubordination
Jeopardizing workplace health and safety
Harassment
Criminal acts
22. Types of workplace discipline
22
Progressive discipline is the most common and effective
type of workplace discipline
Non-Disciplinary
Counselling, training, feedback
Verbal reprimand
Written reprimand
Suspension
Termination
www.whatishumanresource.com
23. Implementing workplace discipline policies
23
Educating employees
Educating managers
Investigations
Following the steps
Verbal warning
Written warning
Suspension
Termination
Documentation
24. Educating employees
24
Include workplace discipline policy in the employee
handbook
Review the policy during orientation
Provide ongoing training, coaching, and mentoring
Provide feedback through appropriate supervision
Regularly review and restate expectations for
behaviour and performance
25. Educating managers
25
Ensure managers are familiar with the workplace
discipline policy and procedures
Provide managers with tools required for effective
supervision, training, and coaching
Leadership training
Provide managers with access to expert advice,
coaching, and support from Human Resources
26. What is the Appropriate Response
26
Find out the nature of the misconduct
Workplace culture regarding misconduct
Employees history
Has this happened before?
Who was involved?
Was the issue resolved?
27. Investigations
27
Preliminary considerations
Who should investigate? Who is involved? Is there evidence?
Fact finding interviews
Employee, manager, witnesses, any other involved parties
Disciplinary conclusions
Preliminary considerations and fact finding should be
completed before discipline is issued
Information obtained can confirm level of discipline required
28. Non-Disciplinary Action
28
Review of the policy
Feedback from management
Further training in appropriate behaviours
Counselling
Employer driven
Employee driven
30. Step 1: Verbal warning
30
Employee will be given a verbal warning that clearly
confirms
The undesirable behavior or action
When, how, and where the behavior or action took place
Reason that the behaviour or action is considered unacceptable
Manager will provide the employee with the opportunity
to explain the situation and their chosen actions
Manager will discuss with the employee alternative
behaviours and actions that are considered acceptable
Manager will remind the employee that further
disciplinary action, up to and including termination, may
follow if the identified unacceptable behavior continues
31. Step 2: Written warning
31
Employee will be given a written warning that clearly
confirms
The undesirable behavior or action
When, how, and where the behavior or action took place
Reason that the behaviour or action is considered
unacceptable
A description of acceptable alternative behaviours or actions
Where applicable, that they have previously received at least
one verbal warning for this behaviour/action
Reminder that further disciplinary action, up to and including
termination, may follow if the identified unacceptable behavior
continues
32. Step 2: Written warning
32
Manager will provide the employee with the opportunity
to explain the situation and their chosen actions
Manager will discuss with the employee alternative
behaviours or actions that are considered acceptable
A copy of the written warning will be provided to the
employee and a copy will be placed on their HR file
Employee will be required to sign the written warning
Manager will remind the employee verbally, and in
writing, that further disciplinary action, up to and
including termination, may follow if the identified
unacceptable behavior continues
33. Step 3: Suspension
33
Employee will be given written documentation regarding
the suspension in relation to the undesirable behaviour
or action
When, how, and where the behavior or action took place
A summary of why the behavior or action is considered unacceptable
A description of acceptable alternative behaviours or actions
A summary of verbal and written reprimands related to this
behaviour
Duration of the suspension
Confirmation of impact of suspension on regular earnings
Reminder that further disciplinary action, up to and including
termination, may follow if the identified unacceptable behavior
continues
34. Step 3: Suspension
34
Employee will be provided with a copy of the
documentation and a copy will also be placed on
their HR file
Employee will be required to sign the documentation
35. Step 4: Termination
35
Employee will be given written documentation regarding
the reason for termination
A summary of the behaviour or action that resulted in the suspension
When, how, and where the behavior or action took place
A summary of why the behavior or action is considered unacceptable
A summary of all previous disciplinary action related to the
behaviour or action
A description of acceptable alternative behaviours or actions
Confirmation of the date of termination
Confirmation of the impact of termination on regular earnings and
any other applicable employee benefits.
36. Step 4: Termination
36
Employee will be provided with a copy of the
termination notice and a copy of the notice will be
placed on their HR file
Do not hesitate to obtain legal advice before
proceeding with termination
37. Documentation
37
3 rules of workplace discipline documentation
DO IT
Helps to track and improve performance
Supports further disciplinary action
Provides factual evidence that policy is applied consistently and
fairly
Be professional
Documents may be reviewed by the employee, various third
parties, or legal counsel
Tell the story
Include who, what, when, where, and how
Be factual
Avoid including value judgments or personal opinions
38. Potential Challenges
38
Consistency across the organization
Documentation requirements
Negative impact on individual employee
performance
Negative impact on morale
39. Consistency across the organization
39
Challenge
Remedy
Ensuring managers are addressing
same issues consistently
Training
Documented controlled
discretion
Ensure policy specifically applies
to commonly encountered
situations
Ensuring managers are following
steps outlined in the policy
Training
Make changes when required
40. Documentation requirements
40
Challenge
Remedy
Managers unclear on documentation
requirements
Training
Inconsistent documentation across
managers
Training
Cumbersome documentation
requirements
Redesign the process to maximize
efficiency
Provide managers with allotted time
to complete the required
documentation
41. Negative impact on employee performance
41
Ensure that, when appropriate, performance
management is kept separate from workplace
discipline
Notice and positively reinforce improvements in the
employee’s behaviour
Notice and positively reinforce other aspects of the
employee’s work performance
Reassure the employee that disciplinary action is
confidential
42. Negative impact on morale
42
Acknowledge and discuss concerns regarding the
workplace discipline policy
Encourage employees to ask questions and provide
input
Notice and positively reinforce aspects of the team’s
performance or behaviour
Lead by example
45. About us
45
Our services
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accounts
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information
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46. Contact us
46
#517-7620 Elbow Drive SW
Calgary, AB T2V 1K2
403-264-5288
www.hylton.ca
800-449-5866
info@hylton.ca
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Notas del editor
Like they say “the best defense is a good offense”. By creating a positive work environment you are more likely to organically discourage behaviour that requires disciplinary action. When disciplinary action is required, it is more likely to be successful due to the strong foundation built by the positive work environment.
Simple. Effective. And. . . Not always easy to create and maintain!
Opportunities to practice desirable behaviours: If you have an area where employee performance is a concern and disciplinary action is required on a regular basis, identify opportunities to let employees practice the skills and behaviours you want them to use more frequently. Opportunities to participate: Studies have consistently shown that employees who feel that their ideas, comments, and suggestions are heard and heeded report a higher level of workplace satisfaction and loyalty to the workplace.
The policies listed above are examples of content you may want to ensure is included in the employee handbook.
Adapted from:http://www.evansphilp.com/documents/Seminars/Discipline%20in%20the%20Workplace.pdfExamples of misconduct:Habitual latenessHorseplayTaking unauthorized breaks or unauthorized extended breaksRefusal to do one or more aspects of their position that they are capable of doingExamples of serious misconductPhysical assaultTheft or fraudHarassmentBreach of confidentialitySelling or doing drugs at work
Source: http://hrcouncil.ca/hr-toolkit/keeping-people-discipline.cfmThe goal of employee education of workplace discipline is two fold: Employees ought reasonably know what behaviours are unacceptableManagers must provide feedback that identifies unacceptable behaviours and also identifies alternate, appropriate behaviours that an employee can use in the future.
Adapted from: http://www.evansphilp.com/documents/Seminars/Discipline%20in%20the%20Workplace.pdfAll investigations should be conducted in a timely manner, and with fairness and impartiality. Conducting investigations has many benefits such as providing evidence and an opportunity to identify and improve workplace issues.