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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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4
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
n M
akin
g
Leave (D
ML) is a
one-d
ay d
isciplin
ary
su
spensio
n w
ith p
ay
It is the fi
nal ste
p in
th
e Po
sitive
Discip
line p
roce
dure
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What is a Decision Making Leave? DML
On th
e “D
ecisio
n
Day” th
e e
mp
loyee
must d
ecid
e:
Eith
er:
1.
SO
LVE
the
imm
edia
te p
rob
lem
an
d C
OM
MIT
to
main
tain
ing a
fully
acce
pta
ble
perfo
rmance
in
every
are
a o
f the
job
or
2.
RES
IGN
, and
find
m
ore
satisfy
ing
w
ork e
lsew
here
.
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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
63
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
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