Disciplinary Measures: Legal Obligations & Best

Practices11 am Dec 6th, 2012

Whitehorse, YTCanada 1045

Chris Hylton800 449-5866 chris@hylton.ca

Agenda

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

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Agenda

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 chargesCG Hylton Inc

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Do you have any workplace issues we can try and solve for you in this session?

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What simple tools can cure many bad behaviours?

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Light

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Mirror

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Overview

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

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Overview

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

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Ignore the issue

Sometimes, ignoring the issue or attempting to forget about it, just does not work

The problem affects other situations and does not go away

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What are the sources of Conflict? Any ideas please?

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There can be many sources of conflictHow people talk (or don’t talk) to each other

How information is shared and handled

How people deal with each other (relationships)

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Sources of Conflict

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

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Spectrum of Responses

Ignoring ………………….Going to Court In between are Discuss Negotiate Mediation (third party) Arbitration (third party - union) Investigation (third party

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Harassment Investigation

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

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Goal of Investigation

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.

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Typical Investigation Team

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

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Typical Questions

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?

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Typical Questions

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?

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Typical Questions

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.)?

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Investigation Final Report

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

Recommendations, would be provided in a separate report

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Problems Requiring Special Attention Absenteeism and tardiness Insubordination and uncooperativeness Alcohol / drug abuse Workplace violence Theft

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Absenteeism and Tardiness

The most common reasons given for taking unscheduled time off are personal illness and family issues.

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Absenteeism and Tardiness

To help reduce absenteeism:

Initiate paid time off banks, time in lieu

Initiate flex time, it costs you nothing

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Insubordination

Insubordination the deliberate

refusal to do what a supervisor or other superior asks

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Insubordination

Insubordination and uncooperativeness Criticizing Complaining Showing a dislike for a supervisor and the

organization Poor work habits

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Solution? Any ideas?27

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Alcohol and Drug Abuse

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

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Solution? Any ideas?29

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Workplace Violence

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.

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Workplace Violence

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

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Solution? Any ideas?32

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Theft

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.

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Average Amount Lost per Employee Theft

12-34

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Second chance for theft?

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Solution? Any ideas?36

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Problems Requiring Special AttentionQuestions 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?

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Problems Requiring Special AttentionQuestions 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?

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Potential Problem Employees

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The Cheater

Resumes The Interview

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Family members in workplace

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Gossiper

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Bully

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Conflict of interest at Work

Does anyone have any stories to share, you don’t need to name names

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Conflict of Interest

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What is the responsibility of the Employer? Safe workplace Working conditions are satisfactory Employees will not get hurt Harrassment free & bully free Governed by Occupational Health &

Safety laws

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Positive vs. Progressive Discipline

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It began with a potato chip!

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Grote, Dick. (2006).

Discipline without punishment: The proven strategy that turns problem employees into superior performers

What is Positive Discipline?

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.

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What is Positive Discipline?

Innovative Process for addressing performance in the work place.

Is not punitive in nature Encourages communication

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Why change?

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

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What's wrong with the old system? 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?

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Problem with Progressive 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.CG Hylton Inc

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Advantage of Positive Discipline?

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 process

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What’s the advantage for 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.

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Informal Positive Discipline Communications

Positive contacts

Performance Improvement Discussions (PID)

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Formal Positive Discipline Communications

Reminder 1

Reminder 2

Decision Making Leave (DML)

Termination

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What is a Decision Making Leave?

A D

ecisio

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akin

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Leave (D

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It is the fi

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Discip

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What is a Decision Making Leave? DML

On th

e “D

ecisio

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Day” th

e e

mp

loyee

must d

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Eith

er:

1.

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.

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Employee Rights During 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

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Termination Provisions Still in Play Canada Labour Code +3 mos service – 2

weeks notice or pay YT Employment Standards +6 mos

service – 1 weeks notice or pay

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What did we miss

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 chargesCG Hylton Inc

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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