J A N UA RY 2 2 , 2 0 1 43 : 0 0 P M

H U M A N R E S O U R C E M A N A G E M E N T F O R A B O R I G I N A L A N D N O R T H E R N C O M M U N I T I E S

Y E L L O W K N I F E , N W T

L I S A P E C K H A M

Enforcing Discipline in the Workplace

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Learning objectives

Creating a positive employment relationship

Performance management vs. workplace discipline

Creating workplace discipline policies

Implementing workplace discipline policies

Potential challenges

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Purpose of Discipline

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

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Creating a positive work environment

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

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Defining a positive work environment

“A positive work environment is a place where employees are happy and motivated.”

White, 2002; HRZone, 2000

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10 ways to create a positive work environment

Build trustOpen communicationSet expectationsTeam buildingRecognitionGive credit and take

responsibility

Be approachablePositive physical

environmentGood performance

management processHave fun

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Tools for employees

Clear policies

Clearly communicated expectations

Opportunities to practice desirable behaviours

Opportunities to participate

Communication skills

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Benefits of a positive work environment

Improved moraleBetter employee performanceIncreased productivityCohesive teamsHigher retention ratesFewer sick daysFewer workplace accidents and injuriesMore likely to achieve organizational goalsMore creativity and innovation

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Performance management vs. workplace discipline

Defining performance management

Defining workplace discipline

Know which tool to use

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Defining performance management

“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

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Elements of performance management

Clear and accurate job descriptionsClearly communicated performance

standardsClearly communicated desired performance

outcomes and measures On going coaching and feedbackRegular formal performance reviewsEffective compensation and recognition

systems that reward people for performance and contribution

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Successful performance management

Clear and specific communication is the cornerstone of successful performance management. It is the employer’s responsibility to let employees know the expectations.

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Workplace discipline

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

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Elements of workplace discipline

CommunicatedProgressiveFairConsistentDocumented

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Successful workplace discipline

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

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Know which tool to use

Performance managementTo help employee develop competenceTo help employee meet goals and objectives

Workplace disciplineBehaviour causes workplace disruptionViolation of rules, policies, and proceduresEngaging in illegal behaviourViolence or harassment

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Creating workplace discipline policies

Define the purpose of the policyEnsure rules are clearly stated, fair, and

accurate in the Employee HandbookEnsure that expectations and consequences

are clearly statedClassifying misconduct

Misconduct or Serious misconductDetermine type of discipline to be used

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Purpose of the policy

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

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Employee Handbook

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

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Expectations and consequences

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

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Classifying misconduct

Misconduct Carelessness without intent No direct challenge to authority

Serious Misconduct Insubordination Jeopardizing workplace health and safety Harassment Criminal acts

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Types of workplace discipline

Progressive discipline is the most common and effective type of workplace discipline

Non-Disciplinary Counselling, training, feedback

Verbal reprimandWritten reprimandSuspension Termination

www.whatishumanresource.com

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Implementing workplace discipline policies

Educating employeesEducating managersInvestigationsFollowing the steps

Verbal warning Written warning Suspension Termination

Documentation

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Educating employees

Include workplace discipline policy in the employee handbook

Review the policy during orientationProvide ongoing training, coaching, and

mentoringProvide feedback through appropriate

supervisionRegularly review and restate expectations for

behaviour and performance

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Educating managers

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

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What is the Appropriate Response

Find out the nature of the misconduct

Workplace culture regarding misconduct

Employees history Has this happened before? Who was involved? Was the issue resolved?

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Investigations

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

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Non-Disciplinary Action

Review of the policy

Feedback from management

Further training in appropriate behaviours

Counselling Employer driven Employee driven

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Disciplinary Action

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Step 1: Verbal warning

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

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Step 2: Written warning

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

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Step 2: Written warning

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

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Step 3: Suspension

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

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Step 3: Suspension

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

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Step 4: Termination

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.

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Step 4: Termination

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

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Documentation

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

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Potential Challenges

Consistency across the organizationDocumentation requirementsNegative impact on individual employee

performanceNegative impact on morale

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Consistency across the organization

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

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Documentation requirements

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

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Negative impact on employee performance

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

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Negative impact on morale

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

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Questions?

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THANK YOU!

Thank you for the opportunity to present to you today!

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