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Fundamentals Of Leadership Progressive Dicipline
- 1. Fundamentals of Leadership Progressive Disciplinary Training for Supervisors/Directors Barb Zilmer HR Consultant
- 2. Objectives of this Training At the end of this session you will: Understand the Corrective Action/Discipline processes at Company. Recognize the need to take prompt and appropriate action related to our topic. Appreciate that ‘best practice’ takes primacy and the need to be consistent. Document – document - document
- 3. Definition of Discipline Preventative Discipline Corrective or Progressive Discipline
- 4. RWHC Progressive (Corrective) Discipline Step One – Verbal Warning Formal Process Seriousness of situation What’s next Plan for change Document
- 5. RWHC Progressive (Corrective) Discipline (continued) Step Two – Written Warning Formal Notification of Seriousness Behavior must change or further action taken Review the plan and revise Document
- 6. RWHC Progressive (Corrective) Discipline (continued) Step Three – Final (2nd) Written Warning Notice or Suspension Repeated minor offenses – behavior not corrected. Major offenses Time for reflection and decision making Document
- 7. Disciplinary Action TIP (HOT STOVE) Following the rule, disciplinary action must: Occur after a warning has been ignored— Just as a burn occurs from ignoring the warning a hot stove gives. Occur immediately— Just as a hot stove burns immediately. Be Consistent— Just as a hot stove burns every time. Be impersonal in that it occurs regardless of who the person is— Just as a hot stove burns any and every person who touches it.
- 8. Handling Major Offenses Attendance Poor Work Performance Safety Violations Language Insubordination Fighting Drinking/Substance Abuse Theft Harassment
- 9. ATTENDANCE Revised attendance policy, effective 7/1/09. Make sure you are familiar with the updated policy Reduced to 9 absence occurrences in 12 month period HR assistant tracking everyday Supervisors responsibility to discuss corrective action with associate for first 5 occurrences. Department director and HR Director will perform corrective action for the final two occurrences.
- 10. POOR WORK PERFORMANCE What is it about this persons behavior that has an adverse impact on the work being done? What are the things I actually see and hear that indicate there is a problem? What are the things I would have this person do (or stop doing) that would convince me s/he has solved the problem?
- 11. ANALYZE THE PROBLEM BEHAVIOR 1. Is addressing the behavior worth the time? 2. Does the associate know his performance is not what it should be? 3. Does the associate know what is supposed to be done and when? 4. Are there obstacles beyond the associate’s control? 5. Does the associate know how to perform the desired behavior correctly? 6. Does a positive consequence follow non-performance? 7. Is the associate capable of performing as expected?
- 12. SAFETY VIOLATIONS Company has established work rules designed to prevent safety violations They have been communicated to associate through various sources Company has two committees formed for managing the safety program Action plans have been put in place when corrections need to be made or violations have taken place. Safety rules need to be enforced.
- 13. LANGUAGE Use of profanity Negative, insulting language Language that can lead to insubordination
- 14. INSUBORDINATION “Boldness, without the rules of propriety, becomes insubordination” Chinese Proverb by Confucius
- 15. FIGHTING May be grounds for immediate termination Do not discharge on spot Send both associates home pending investigation
- 16. ALCOHOL/SUBSTANCE ABUSE Do not play the role of amateur physician. Do not moralize.. Do not search the associate or their possessions. Do not hold an associate against their will, unless they present a threat to their own safety or the safety of others. Do not label any associate "alcoholic, drug addict, or disabled ".
- 17. THEFT Was this associate who stole or embezzled company property or funds – beyond a reasonable doubt? Did the associate intend to steal or be dishonest? Was the value of the stolen item or amount considerable? Were there extenuating circumstances? Was the associate stealing from a resident?
- 18. DISCHARGE/TERMINATION Never discharge on the spur of the moment. Get all the facts first to make sure your investigation is thorough, complete, and well-documented. Conduct all associate interviews with care and deliberation. Investigate promptly -- don't delay. Do a last recheck to make sure investigation is complete Pinpoint the basis for discharge Whenever possible, inform the associate in person Always use progressive discipline and keep appropriate documentation.
- 19. BREAK OUT SESSION: Topic Group Discussion Pick a Spokesperson What will you do?
- 20. In Conclusion The way to get started is to quit talking and begin doing…Walt Disney Effective leadership is putting things first. Effective management is discipline, carrying it out… Steven Covey
Editor's Notes
- Discipline is defined as “a state of control.” Too often it is thought of only as punishment. A broader definition is based on personal choice, change, and self improvement. Discipline can be viewed and in most cases does as on ongoing process in the workplace for all associates as a set of steps used to address a specific behavior in an individual associate. Here is the distinction:Preventative DisciplineThis approach to discipline emphasizes the creation of a positive work environment for all associates. It means using sound principles of supervision to clarify work expectations, provide associates with all the right resources, recognize and reward their efforts and build their trust. Builds good morale in workplace. Associates know what is expected, people are happier in their work when they know the expectations as well as their limits. Corrective or Progressive DisciplineIn those cases where preventive discipline is not sufficient, it may become necessary to take corrective measures. This means that specific behaviors of the work, either in their personal behavior (absenteeism, tardiness, insubordination, unsafe work practices, alleged or reported cases of possible VA abuse) or in their work performance (not doing care on residents properly, work production slow, errors in work, not completing work on scheduled shift, performing accu checks in public, med errors etc.) must be addressed and corrected. This is not meant to be punishment, but rather corrective action (correct the action). These progressive steps will serve notice to the associate that this behavior cannot continue, that it must change, or specific consequences will follow. Keep in mind that the facility has the right to accelerate any discipline to termination based on the severity or nature of the behavior.(page 2 of training materials)
- (We are on Page 3 of training materials, take note that when referring to the corrective action form it is located on the last page of your training material page 25)The purpose of the verbal warning is: To make sure the associate understands the “steps” of this formal discipline process, including the time frame for agreed-upon change. To make sure they understand the seriousness of the situation. To let them know what further disciplinary action will happen next if change does not occur. To confirm a plan for change. Be sure to document even this verbal warning (See attached Company Disciplinary/Corrective Action Form) Remember each step of the Progressive (Corrective) Discipline procedure should be written and maintained as part of the associate’s permanent record. Documentation should include:Date meeting with associateDate and time of violationA description of the violation and facts pertinent to the incidentWhat the associate is going to do to correct behaviorWhat the next step will be if there is another violation Provide documentation with each step of progressive discipline. This is your record of the associate’s commitment to change (or lack thereof). Stay with the facts. Opinions and subjective (not impartial, based feelings rather than on facts or evidence) judgments have no place in the documentation process. They must be objective (based on facts and evidence, free of bias or prejudice from own personal feelings) If the associate is part of the union then one of the union stewards in the building should be informed of the disciplinary action. We will be using the corrective action form in our training today. I will be giving you several instances where you will be using that form. Here is our first example: An associate has had a coaching/counseling session with you or a designee on their abuse of the break time. They take a break approximately every hour to go smoke a cigarette. You have pointed out during your coaching our break policy allows for smoking their cigarettes only during the scheduled paid and unpaid breaks. You have talked to this person on several occasions. Since they have not heeded your warnings what will you do next? QUESTIONS????
- (Page 4 of training materials)Step Two – Written Warning The purpose of the written warning is: To provide formal notification of the seriousness of the offense.To inform the associate that if the behavior does not change, further disciplinary action will be taken, including, but not limited to, a final written (2nd) warning or suspension.To reviewthe plan for change and revise it as necessary.To document the second step of the process.To obtain the associate’s signature on the stated violation and agreement to change. Back to example of our associate who was using foul language. What would you do if that person continued to abuse the breaks even after coaching, repeated warnings, and a verbal warning? Problem nipped in bud. Associate has gone so far with his/her behavior that s/he has received a written warning. The problem seems to have been corrected. Associate stops taking the extra breaks and only smokes when she is on a scheduled break.QUESTIONS???
- Page 5 of training materialsStep Three – Final (2nd) Written Warning Notice or Suspension Second written warning or suspension can be used for:Repeated minor offenses where an associate has been warned, but behavior has not been corrected. Major (Egregious) offenses (gross or outrageous) such as insubordination, drinking, using drugs on the job, willful destruction of property, fighting or not calling in which would be considered a no call/no show. Providing time of reflection and decision-making for the associate; asking them the hard question,“What is your future with this facility?” “Do you really want to stay on this job?” It is strongly recommended that supervisors do not “fire” associates on the spot. Arbitrators and judges will question the decisions of terminations made in the heat of anger or on the “spur of the moment.” Also doing this without proper documentation could bring unwelcome litigation. What is recommended is that associates be “suspended pending further investigation”. According to the Collective Bargaining Agreement in dealing with Union associates, we must complete the investigation within 72 hours (3 Days). This can be extended only if Union or the associate is notified in advance. This suspension may lead to termination, but will insure that the decision was made with a “cool head.” Procedure for suspending an associate (anytime you need to speak with ee you must do so in private):Tell the associate verbally that they are suspended for (infraction), pending further investigation.associate should immediately (if they have not done so already) leave the work site.Report your actions to your immediate Supervisor and to Human Resources. Note: Understand Union contract and be ready to involve a union steward if appropriate.Document the facts leading to your action—time, what happened, what was said.Schedule a follow up meeting with the associate (if they are in the union, they may be offered representation) based on their expected time of return.All suspensions must be thoroughly documented and be factual.QUESTIONS???If there are no more questions, lets move on to what could constitute major offenses.
- For the next few slides you will find the information in our guidelines for these in EE handbook. (Pages 7-13 of Training packet including 17 -19)
- Pages 8 including 15 and 16 (attendance policy) in training packet.As part of your packet I have added the Corrective Action/Disciplinary Form. Please become familiar with it. Particularly take note of the information that relates to attendance.QUESTIONS???
- In defining unsatisfactory performance behaviors, stick to what you see and you hear. Ask yourself:For example, calling in an associate and reporting generally that coworkers find him difficult to work with will elicit demands for more specific information, defensive explanations, excuses, and counter-blaming. If the same conversation is framed with specifics i.e., John, on three occasions I have observed you speaking to colleagues in a manner that both your fellow associates and I found offensive. The comments I heard included the following: “He does not pull his weight when doing cares on residents, he stands around and chit chats, putting us behind in our work.” then the associates options for response are more limited. While he may attempt to deny or explain the behavior, the supervisor has fairly confronted him with the fact that: she has personally observed the problem behavior; and she found it offensive (which is a problem whether or not the associate intended it to be offensive). The coaching session can continue from this foundation.It is important, however, that associates are also honestly told the consequences of a failure to improve performance. If an associate will be discharged if no improvement is shown, it is important that he be told precisely that. Mincing words or speaking in generalities in order to avoid difficult statements is unfair to the associate, who may later be surprised at consequences that are harsher than expected.QUESTIONS???
- If it is not important, addressing the behavior may do more harm than good. As a supervisor you have to make that determination. (example: associate likes to chit chat with the residents while in room doing cares and this associate talks about personal family problems, residents like the attention. Should this employee be sharing his/her personal information? Probably not, however is the resident being harmed or abused? You as the supervisor will need to determine if this is a behavior that is worth correcting. If not, let the associate know in an honest and factual manner.If not, tell him! Employers frequently mistakenly assume that expectations are clear when they are not.If yes, either remove them or acknowledge that the requested performance cannot be realized with the tools provided.If not, provide training or allow practice. Too often, associates are expected to hit the ground running and are penalized for performance that could have been easily corrected with a small investment of a managers time.If so, change the consequence. If associates who fail to complete less likeable portions of their responsibilities succeed in having those responsibilities reassigned, the manager is reinforcing non-performance.This is the ultimate question. When a manager becomes convinced through progressive performance management that the answer to this question is no, it is time to reassign the associate to another function, or help the associate successfully complete the termination process.If the manager does not have enough information to answer these questions, they may form the basis for an initial conversation with the associate. Make sure to document all conversations including the date they took place.QUESTIONS???
- After all that has been communicated to our staff on safety. Annual safety training, our mandatory trainings through silver chair. Our two committees for safety, the safety board, departmental training, environmental studies in the building. There should be little opportunity for a safety violation.But has a safety violation taken place? Perhaps an associate was hurt due to a safety violation. Would you do corrective action on this individual? We have a process in place for investigating injuries. If an individual has been injured after repeated warnings on how they may have lifted a resident, transferred a resident or some other warning in a particular department. Then and only then would corrective action take placeCompany needs to be able to prove beyond a reasonable doubt that after adequate safety training was provided, along with repeated warnings about unacceptable practice that a staff person worked unsafely and had knowledge of that fact.QUESTIONS???
- Swearing is never acceptable in the workplace. We as supervisors must set the tone and make the effort to use appropriate language. When foul, insulting, demeaning, negative language is directed towards or targeted at a resident of Company, the associate will immediately be placed on suspension pending an investigation of the incident. (A full investigation of incident will involve Human Resources, the Department Director and often times the Administrator) Depending on the investigation results, the associate may be terminated from employment.Where an associate is using foul language or inappropriate language, perhaps not in front of residents but is subjecting co-workers to that language, pull them aside and speak to them privately. Make it very clear that the language they are using is inappropriate and they should stop immediately. If you have talked to them about it and that did not work then take corrective action by going the next step in the corrective action process.QUESTIONS???