1. Disciplinary Measures:
Legal Obligations & Best
Practices
11 am Dec 6th, 2012
Whitehorse, YT
Canada 1045
Chris Hylton
800 449-5866 chris@hylton.ca

2. 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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3. 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
charges CG Hylton Inc
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4. 4
Do you have any workplace issues we
can try and solve for you in this
session?
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5. What simple tools can cure
many bad behaviours?
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6. Light
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7. Mirror
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8. 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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9. 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?
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10. 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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11. What are the sources of
Conflict?
 Any ideas please?
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12. There can be many sources of
conflict
 How 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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13. 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)
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14. 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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15. 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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16. 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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17. 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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18. 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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19. 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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20. Typical Questions
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 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.)? CG Hylton Inc

21. Investigation Final Report
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 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
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 Recommendations, would be provided in a

22. Problems Requiring
Special Attention
 Absenteeism and tardiness
 Insubordination and uncooperativeness
 Alcohol / drug abuse
 Workplace violence
 Theft
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23. Absenteeism and Tardiness
 The most common reasons given for taking
unscheduled time off are personal illness and
family issues.
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24. 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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25. Insubordination
 Insubordination
 the deliberate
refusal to do what
a supervisor or
other superior asks
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26. Insubordination
 Insubordination and uncooperativeness
 Criticizing
 Complaining
 Showing a dislike for a supervisor and the
organization
 Poor work habits
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27. Solution? Any ideas?
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28. 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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29. Solution? Any ideas?
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30. 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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31. 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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32. Solution? Any ideas?
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33. Theft
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 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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34. Average Amount Lost per
Employee Theft 12-
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35. Second chance for theft?
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36. Solution? Any ideas?
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37. Problems Requiring
Special Attention
Questions 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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38. Problems Requiring
Special Attention
Questions 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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39. Potential Problem Employees
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40. The Cheater
 Resumes
 The Interview
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41. Family members in workplace
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42. Gossiper
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43. Bully
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44. Conflict of interest at Work
 Does anyone have any stories to share, you
don’t need to name names
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45. Conflict of Interest
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46. 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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47. Positive vs.
Progressive
Discipline
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48. 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

49. 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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50. What is Positive Discipline?
 Innovative Process for addressing
performance in the work place.
 Is not punitive in nature
 Encourages communication
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51. 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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52. 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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53. 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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54. 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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55. 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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56. 56
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57. Informal Positive Discipline
Communications
 Positive contacts
 Performance
Improvement
Discussions (PID)
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58. Formal Positive Discipline
Communications
 Reminder 1
 Reminder 2
 Decision Making
Leave (DML)
 Termination
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59. What is a Decision Making Leave?
 A Decision Making Leave (DML) is a one-day
disciplinary suspension with pay
 It is the final step in the Positive Discipline
procedure
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60. What is a Decision Making Leave?
DML
On the “Decision Day” the employee must
decide:
Either:
1. SOLVE the immediate problem and COMMIT
to maintaining a fully acceptable performance
in every area of the job or
2. RESIGN, and find more satisfying work
elsewhere.
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61. 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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62. 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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63. 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
charges CG Hylton Inc
63

64.  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