Performance management, workplace, discipline, morale, employees, staff, appraisal, employee handbook

1. Enforcing Discipline in the
Workplace
JANUARY 22, 2014
3:00PM
HUMAN RESOURCE MANAGEMENT FOR
ABORIGINAL AND NORTHERN COMMUNITIES
YELLOWKNIFE, NWT
LISA PECKHAM

2. Learning objectives
2
 Creating a positive employment relationship
 Performance management vs. workplace discipline
 Creating workplace discipline policies
 Implementing workplace discipline policies
 Potential challenges

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

9. Performance management vs.
workplace discipline
9
 Defining performance management
 Defining workplace discipline
 Know which tool to use

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

12. 12
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.

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

29. Disciplinary Action
29

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

43. Questions?
43

44. THANK YOU!
44
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present to you today!

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45
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46. Contact us
46
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