Overview of incidents that require disciplinary measures: when do you
resort to discipline and why it is necessary in order to maintain a healthy
work environment
• What are the legal obligations that an employer must adhere to?
• Different types of discipline: progressive and positive
• Taking the stand to discipline a staff member: how do you initiate and
complete this difficult task
• Making sure staff know what is expected behaviour in order to avoid the "I
didn't know" excuse
• Ensuring disciplinary measures are consistent in order to avoid discrimination
charges
2. Agenda
2
Overview of incidents that require
disciplinary measures: when do you resort
to discipline and the need to maintain a
healthy work environment
The legal obligations of an employer
Types of discipline:
Progressive
Positive
CG Hylton Inc
3. Agenda
3
Taking a stand to discipline a staff
member
How do you initiate and complete this
difficult task
Making sure staff know what is expected
behaviour in order to avoid the "I didn't
know" excuse
Ensuring disciplinary measures are
consistent in order to avoid discrimination
CG Hylton Inc
charges
4. 4
Do you have any workplace issues we
can try and solve for you in this
session?
CG Hylton Inc
8. Overview
8
All work settings generate disagreements
among staff
Disagreements, whether involving
individuals or groups of individuals, are
inevitable.
It would be an unusual workplace to not
have any differences of opinion.
It would also be a place stuck in the past if
there were not new ideas on how to do
things CG Hylton Inc
9. Overview
9
Conflicts can be a plus, yielding
improvements or suggestions for
improvements
The problem isn’t necessarily with
conflicts but how we deal with them
What is the simplest method of
dealing with conflict?
CG Hylton Inc
10. Ignore the issue
10
Sometimes, ignoring the issue or
attempting to forget about it, just
does not work
The problem affects other
situations and does not go away
CG Hylton Inc
11. What are the sources of
11
Conflict?
Any ideas please?
CG Hylton Inc
12. There can be many sources of
12
conflict
How people talk (or don’t talk) to
each other
How information is shared and
handled
How people deal with each other
(relationships)
CG Hylton Inc
13. Sources of Conflict
13
Differences in values and what’s
important (priorities)
How and when things are done
(procedures, scheduling)
How work and responsibilities are
arranged (work structure and
distribution)
CG Hylton Inc
14. Spectrum of Responses
14
Ignoring ………………….Going to Court
In between are
Discuss
Negotiate
Mediation (third party)
Arbitration (third party - union)
Investigation (third party
CG Hylton Inc
15. Harassment Investigation
15
Nurse alleges lateral violence from another
employee and lodges complaint thru union
There is a union
It is a small workplace
Employer hires an Investigator, with
agreement of union
CG Hylton Inc
16. Goal of Investigation
16
The goal of our investigation is to try to
find out what actually occurred,
to establish whether what happened is in
violation of policy or law,
then work with the employer to seek
remedies that address the concerns of all
parties in a respectful and constructive
manner.
CG Hylton Inc
17. Typical Investigation Team
17
Two Investigators involved
Use rigorous set of questions to determine
facts, not judge
Focus on facts not emotions or opinions
Make all witnesses and complainant
comfortable
After witnesses do redirect interviews with
complainant then respondent
Analysis
Write report CG Hylton Inc
18. Typical Questions
18
Can you tell me about the incident(s) that
prompted you to file a complaint?
What role does this person have in
connection with your work (i.e., supervisor,
co-worker, supervise)?
What kind of conduct has this person
engaged in that you find offensive?
When and where did the behavior occur?
CG Hylton Inc
19. Typical Questions
19
How often did a particular behavior described
occur?
Did you keep a journal, diary, or record of the
events you’ve described? If so, request a copy.
What was the effect of this behavior on you? Did it
affect your work? How? How did you respond?
Did you indicate that the behavior was
unwelcome? How?
Do you know of anyone else who has experienced
similar behavior?
CG Hylton Inc
20. Typical Questions
20
Were there any witnesses? Who?
Did you tell anyone else what happened?
Who? When? Why did you tell that
person? What did that person do?
Do you have any documentation pertaining
to your complaint? If so, request a copy.
What would the client like to see as the
outcome of this process (e.g., to have the
behavior stopped, counseling or discipline,
CG Hylton Inc
etc.)?
21. Investigation Final Report
21
A description of the allegations
A description of the investigation process we
undertook
A description of the background information and
evidence that supports or refutes each allegation
An analysis of the evidence in respect to each
allegation
A statement as to whether or not the behaviour
described in each allegation constitutes a breach
of the Policy CG Hylton Inc
22. Problems Requiring
22
Special Attention
Absenteeism and tardiness
Insubordination and uncooperativeness
Alcohol / drug abuse
Workplace violence
Theft
CG Hylton Inc
23. Absenteeism and Tardiness
23
The most common reasons given for taking
unscheduled time off are personal illness and
family issues.
CG Hylton Inc
24. Absenteeism and Tardiness
24
To help reduce absenteeism:
Initiate paid time off banks, time in lieu
Initiate flex time, it costs you nothing
CG Hylton Inc
25. Insubordination
25
Insubordination
thedeliberate
refusal to do what
a supervisor or
other superior asks
CG Hylton Inc
26. Insubordination
26
Insubordination and uncooperativeness
Criticizing
Complaining
Showing a dislike for a supervisor and the
organization
Poor work habits
CG Hylton Inc
28. Alcohol and Drug Abuse
28
Alcohol and drug abuse
About 1 out of 10 workers abuse or are
dependent on alcohol or drugs
Need to treat substance abuse arising from an
addiction as a disability
Actions taken with regard to the employee should
focus on work performance, not the substance
abuse itself
CG Hylton Inc
30. Workplace Violence
30
Security managers say that workplace
violence is their number one security threat
An estimated 2 million incidents of workplace
violence occur each year.
Workers who abuse alcohol or drugs or who
have psychological problems may be more
likely to engage in violence at work.
CG Hylton Inc
31. Workplace Violence
31
Domestic violence is a contributing factor to
workplace violence.
Domestic violence is behind millions of days of
absences each year, and millions more in lost
productivity
CG Hylton Inc
33. Theft
33
The largest cause of missing
goods and money for retailers
is employee theft, not
shoplifting
“Stealing time” / Internet
surfing are also considered
theft.
Information theft is a serious
and growing problem.
CG Hylton Inc
37. Problems Requiring
37
Special Attention
Questions to help uncover the true source of a
performance problem:
Has the employee performed better in the past?
Has the employee received proper training?
Does the employee know and understand the
objectives he or she is to accomplish?
CG Hylton Inc
38. Problems Requiring
38
Special Attention
Questions to help uncover the true source of a
performance problem:
Is the supervisor providing enough feedback
and support?
Has the supervisor encouraged and rewarded
high performance?
Are other employees with similar abilities
performing well or experiencing similar
difficulties?
CG Hylton Inc
46. What is the responsibility of the
46
Employer?
Safe workplace
Working conditions are satisfactory
Employees will not get hurt
Harrassment free & bully free
Governed by Occupational Health & Safety
laws
CG Hylton Inc
48. It began with a potato chip!
48
Grote, Dick. (2006).
Discipline without
punishment: The proven
strategy that turns problem
employees into superior
performers
CG Hylton Inc
49. What is Positive Discipline?
49
Provides for recognition of good
performance exhibited by the majority
of our employees.
A system that provides a way of
solving employee performance and
conduct problems by focusing on an
adult to adult relationship.
Requires employees to take
responsibility for their own behavior.
CG Hylton Inc
50. What is Positive Discipline?
50
Innovative Process for addressing
performance in the work place.
Is not punitive in nature
Encourages communication
CG Hylton Inc
51. Why change?
51
Traditional “Progressive Discipline” system
Reflects 1930’’s labor vs. management
assumptions
Goal is COMPLIANCE, not COMMITMENT
Did not reinforce a positive change
Often results in disharmony and the lack of
trust in the workplace
CG Hylton Inc
52. What's wrong with the old system?
52
Minimal level of communication focused
on what is being done right
Conflicts with organizational values
Managers solve employee problems
instead of employees taking responsibility
for problems
The carrot or the stick?
CG Hylton Inc
53. Problem with Progressive
53
Discipline
focusing on past behaviour
focusing on a problem employee instead
of an employee with a problem
emphasizing punishment over problem
solving;
treating the employee like a child
creating an adversarial situation
Failing to actively assist the employee ito
improve performance. Hylton Inc
CG
54. Advantage of Positive Discipline?
54
1. More frequent recognition of job
well done
2. Confidence that
managers/supervisors will confront
workers who do not share the
same work ethics and commitment
3. Employees will be treated
equitably and fairly in the discipline
CG Hylton Inc
55. What’s the advantage for
55
employees?
4. Supportive of a high performance
environment.
5. Provides reference guide (matrix) for
movement though the process for both
managers and employees – no surprises.
6. Managers given discretion to manage and
provide feedback to staff. Inc
CG Hylton
59. What is a Decision Making Leave?
59
A Decision Making Leave (DML) is a one-
day disciplinary suspension with pay
It is the final step in the Positive Discipline
procedure
CG Hylton Inc
60. What is a Decision Making Leave?
DML
60
On the “Decision Day” the employee must
decide:
Either:
1. SOLVE the immediate problem and COMMIT
to maintaining a fully acceptable performance
in every area of the job or
2. RESIGN, and find more satisfying work
elsewhere.
CG Hylton Inc
61. Employee Rights During
61
Disciplinary Process
Know expectations and consequences of not fulfilling
those expectations
Receive consistent management response to rule
violations
Receive fair discipline based on facts
Be able to question management’s statement of the
facts and to present rebuttal
Receive progressive or positive discipline
Be able to appeal a disciplinary action
CG Hylton Inc
62. Termination Provisions Still in
62
Play
Canada Labour Code +3 mos service – 2
weeks notice or pay
YT Employment Standards +6 mos service – 1
weeks notice or pay
CG Hylton Inc
63. What did we miss
63
Taking a stand to discipline a staff
member
How do you initiate and complete this
difficult task
Making sure staff know what is expected
behaviour in order to avoid the "I didn't
know" excuse
Ensuring disciplinary measures are
consistent in order to avoid discrimination
CG Hylton Inc
charges
64. Thank you!
CG Hylton Inc would like to thank
you for the opportunity to meet with
you today
Questions?
chris@hylton.ca
800 449-5866
Notas del editor
Disciplinary Measures: Legal Obligations and Best PracticesChris Hylton, For Julie Belly HR Manager, De’ton Cho Corporation • Overview of incidents that require disciplinary measures: when do youresort to discipline and why it is necessary in order to maintain a healthywork environment• What are the legal obligations that an employer must adhere to?• Different types of discipline: progressive and positive• Taking the stand to discipline a staff member: how do you initiate andcomplete this difficult task• Making sure staff know what is expected behaviour in order to avoid the "Ididn't know" excuse• Ensuring disciplinary measures are consistent in order to avoid discriminationcharges
There can be many sources of conflict in an organization, including;How people talk (or don’t talk) to each otherHow information is shared and handledHow people deal with each other (relationships)Differences in values and what’s important (priorities)How and when things are done ( procedures, scheduling)How work and responsibilities are arranged ( work structure and distribution)Consequences of conflict may include;Increased frustration or anxietyStrained relationshipsLoss of sleepUnhealthy competition between colleagues and work unitsWithholding of informationLow morale and motivationHigh employee turnoverWork stoppages and loss of productive timeInefficiency and low productivityIncreased worker and client complaintsAbsenteeism SabotageIf turning your back on matters is at one end of the spectrum, then going to court to resolve the matter is at the other end of the spectrum;IgnoreDiscussNegotiateFacilitateMediateArbitration (Union setting)CourtVarious means exist for dealing with conflicts before they go to court. While good intentions help, they aren’t enough to settle differences in the workplace. It is important to have a clear plan and direction for dealing with disputes. One variation for settling a dispute is mediation
There can be many sources of conflict in an organization, including;How people talk (or don’t talk) to each otherHow information is shared and handledHow people deal with each other (relationships)Differences in values and what’s important (priorities)How and when things are done ( procedures, scheduling)How work and responsibilities are arranged ( work structure and distribution)
Typical Questions:Typical questions that we would start with are as follows. We then probe deeper for clarity and facts.Can you tell me about the incident(s) that prompted you to file a complaint?What role does this person have in connection with your work (i.e., supervisor, co-worker, supervise)?What kind of conduct has this person engaged in that you find offensive?When and where did the behavior occur? How often did a particular behavior described occur?Did you keep a journal, diary, or record of the events you’ve described? If so, request a copy.What was the effect of this behavior on you? Did it affect your work? How? How did you respond?Did you indicate that the behavior was unwelcome? How?Do you know of anyone else who has experienced similar behavior?Were there any witnesses? Who? Did you tell anyone else what happened? Who? When? Why did you tell that person? What did that person do?Do you have any documentation pertaining to your complaint? If so, request a copy.What would the client like to see as the outcome of this process (e.g., to have the behavior stopped, counseling or discipline, etc.)?
Conflict of interest does not relate exclusively to matters concerning financial transactions and the transfer of economic benefit. While financial activity is important, conflicts of interest in any area of activity can have a negative impact on the perceived objectivity of the public service. With the permanent and pervasive nature of information technology, public servants should be particularly sensitive to real, apparent or potential conflicts of interest that may arise from messages and information transmitted via the Internet and other media. http://www.fin.gc.ca/afc/cc-eng.asp#a44The Board of Ethics defines professional “conflict of interest” as a situation in which personal and/or financial considerations have the potential to influence or compromise professional judgment in clinical service, research, consultation, instruction, administration, or any other professional activity. http://www.asha.org/policy/ET2011-00320.htmA personal conflict of interest is a situation where a person's private interests — such as outside professional relationships or personal financial assets — interfere or may be perceived to interfere with his/her performance of official duties.As staff, we should always strive to avoid situations where we benefit personally or allow others to benefit personally from the decisions we make for the UN. We need to be aware of how our actions, in the absence of an explanation, may appear or be interpreted by others. Sometimes, the perception of a conflict of interest raises as much ethical concern as does an actual conflict of interest. Conflict of interest situations do not necessarily imply wrongdoing. However, if they are not identified and managed appropriately, they can compromise our work and the Organization's integrity. When each of us avoids the perception and the reality of a conflict of interest, we can help preserve our independence and impartiality. One of the key steps in avoiding or resolving a conflict of interest is to ensure that we place the UN's interests above our own. http://www.un.org/en/ethics/conflictofinterest.shtml The term prejudicial interest is used to describe a particular type of conflict of interest involving councillors. When a councillor has an interest in a topic under debate that may affect their ability to fairly and objectively consider the subject, he or she is said to have a prejudicial interest. An example would be a councillor discussing a planning application for a company in which he or she has an interest. The councillor has an interest in the plans being approved and is therefore considered to have a "prejudicial interest". Source: http://en.wikipedia.org/wiki/Prejudicial_interest
More than 35 years ago, Dick Grote was the manager of training and development for Frito-Lay, one of America’s most sophisticated and best managed companies. Out of the blue, they found themselves ensnared in a PR nightmare. Day after day, mailbags arrived at Frito-Lay’s corporate headquarters filled with angry letters from angry customers, each letter reporting the same bizarre problem: The customer had discovered an obscene message written on a potato chip. All of the chips in question had been produced at the same plant – a plant that in the previous 9 months had fired 58 of its 210 employees for various breaches of discipline. The climate at that particular plant was toxic while supervisors were using a traditional “progressive discipline” system for all violations, serious or trivial. Dick soon realized the issue was not with the disciplinary problems in the plant but the disciplinary system itself…and then DWP was born.A year after implementing this new process, terminations at that plant had dropped from 58 to 19; the following year, they were down to 2.
Traditional progressive discipline system was created by unions around 1930s to keep workers from losing their jobs before having a chance to correct the problem. It is outdated and punitive in nature. It promotes a system of power imbalance and is “America’s criminal justice system brought into corporation.”The developers of DWP agreed that when a person fell short, they had the responsibility to bring the difference between what was expected and what was delivered to that person’s attention while providing him/her with the guidance and the incentive to meet the set goals. They also realized that, in those few cases where an individual consistently failed to perform to their standards, they had the responsibility to that person’s co-workers not to allow him/her to stay in a job where others were then forced to take up the slack.
Currently, "progressive discipline" is generally accepted as the most effective approach to dealing with human resource management problems. Essentially, progressive discipline involves a series of escalating repercussions in response to repeated employment-related violations by a worker. Following the initial violation, the superviser will give the worker an oral warning (counselling). A second violation leads to a written reprimand. A third violation generally results in a disciplinary suspension (without pay), and further violations are considered cause for dismissal. In this manner, the employee is given several opportunities to improve conduct, and ample warning that repeated violations will result in termination. Arbitrators have expressed a preference for this approach because, as a punishment theory, it is perceived as being fairest for the employee.Despite its widespread use, the concept of progressive discipline is by no means universally applauded. It has been pointed out that, “in spite of the fact that the system follows the pattern recommended by arbitrators and most human resources textbooks and produces a great deal of disciplining, little discipline actually exists in the work place.” It is argued that several aspects of the traditional notion of progressive discipline prevent it from being an effective remedy for the ills that afflict the North American work place. One problem is that its object is "too limited or just plain wrong. The ... goal is to force employees to comply with the rules and policies of the employer.” It is asserted that this object should be taken further, to "develop employees who have a sense of their own responsibilities and try to fulfil them, with rule compliance as a by-product only.” This problem is compounded by other factors, such as: focusing on past behaviour; focusing on a problem employee instead of an employee with a problem; emphasizing punishment over problem solving; treating the employee like a child; creating an adversarial situation; and failing actively to assist the employee in improving performance.The solution, according to James Redeker, is to transform the process into one where the employee is given positive reinforcement through rewards, support, an opportunity to participate in solving a problem, and being treated with respect and tact. Failure to improve still results, ultimately, in termination, but the process ensures that the employees recognize their share of the responsibility for that result.The central theme of "non-punitive" progressive discipline is the emphasis of the positive wherever possible, by encouraging workers to see themselves as responsible individuals taking part in a concerted effort to achieve a shared objective.Redeker makes it clear that "non-punitive" progressive discipline requires more skill and effort on the part of supervisors, but he asserts that "if the employer wants employees who are as productive as possible and wants to maximize the return on the training investment, non-punitive discipline in the hands of trained supervisors is the way to go."18Adapted From: Royal Canadian Mounted Police External Review Committeehttp://www.erc-cee.gc.ca/publications/discussion/dp6-eng.aspx
Positive contacts – recognizing good performance which is the majority of employees. It’s as important as recognizing or confronting poor performance. Can be spontaneous and unplanned. Documented or not.Performance Improvement Discussions – Is not spontaneous and unplanned – requires supervisor to make notes in advance of the meeting and conduct the meeting with all of the seriousness of a formal disciplinary transaction, but to advise the employee the difference between the two. Purpose: To avoid the need for any more serious action.
Purpose of Formal Communications: to bring about a change in the employee’s behavior or performance.Reminder 1: individual is reminded of (1) the company’s expectations such as performance expectation or job standard that the individual is failing to meet. (2) the employee’s personal responsibility – reminded that it is he who is responsible for meeting the company’s standards. **Slate is wiped clean if no further incidents requiring disciplinary action arise within 6 months Reminder 2: parallels Reminder 1 – employee will receive memo after the meeting documenting the transaction. **Deactivated and removed if no further incidents requiring disciplinary action arise within 9 months Decision Making Leave – a day off with pay to consider employment and to decide if the individual wants to continue employment with the organization. Must return the next day with a decision to either solve the immediate problem and make a commitment to acceptable performance in all areas of the job or decide to terminate employment with the employer. **Deactivation occurs if no further incidents requiring disciplinary action arise within 12 monthsTermination – occurs following a decision making leave in which the employee requires disciplinary action