Dealing with Employee Discipline

and Performance Issues

Manon Lamontagne,MBA CRHA, CAPA
MLRB Consulting Services
 Understand the purpose of
employee discipline.

Describe the components of a

disciplinary policy.

Learning List the steps included in the

progressive disciplinary procedure.
Objectives
Define progressive discipline.

Describe how to conduct each type

of disciplinary action.
 the types of documentation necessary during
Describe progressive discipline.

employee assistance programs in

Discuss conjunction with discipline.

Learning Identify the employee’s rights when there is a

conflict with management.

Objectives
the importance of understanding how
Discuss historic trauma and self-care is important
for employee wellness

Write a policy and procedure for employee discipline

Discipline
• Discipline is a process that occurs over a
reasonable period of time
• Last resort after all reasonable steps have
failed
• In accordance with employment laws
• All steps documented on file
• Respects Due Process
The Purpose of Employee
Discipline
Disciplinary Process - A step-by-step method of dealing with
performance problems in employees

Eliminate inappropriate behavior

Create a "win-win" situation for manager and

subordinates

Not to exercise vengeance or eliminate a problematic

employee

Neglecting discipline has negative effect on productivity and

morale and makes it more difficult to enforce standards
  Employee Discipline
 Tool used by managers to improve
poor performance and enforce
appropriate behavior to ensure a
productive and safe workplace.
Should be used for the purpose of
The 
helping the employee to correct
behavioral or performance
Purpose of problems that have a negative
impact on the workplace.
Employee  A disciplinary policy and procedure
Discipline should be in place that includes a
policy statement, the purpose for
the policy, and a step-by-step
procedure (with specific timelines)
for the process.
Discipline and
the Law
 Consistency and
fairness
 Retaliation
 Wrongful discharge
Competing concerns

Employee’s Rights
• Fairness (Due Process)
• Privacy
• Non-discriminatory

Employer’s Obligations
• Performance & Efficiency
• Workplace Health & Safety
Employee Rights
• Employment standard acts, human rights
legislation, employment equity laws and
health and safety legislation guarantee some
form of employee rights.
• These are guarantees of fair treatment from
their employer.
• This includes the right to due process in case
of dismissal
Employee
Handbook
 Informs employees of
policy
 Advises that the policy
will be enforced
 Allows some flexibility
Challenges

Managers must use judgment, empathy,

consistency, and fairness when
administering employee discipline.

All disciplinary actions should be

documented in a factual,
nonjudgmental way.
Discipline Policy

 Provides legal protection

 Reassures “good” employees
 Puts potential offenders on notice
 Protects employees from inappropriate actions of co-
workers
 Gives violators the opportunity to improve
Organizational Policy and
Procedure
Importance of a written
disciplinary policy and Policy and Procedure (P&P)
procedure
• Protects manager and • A written standard used
organization within an organization to
• Guarantees rights of describe what is to be
employee done and how to do it.
• Teaches manager how to • Usually policies and
discipline employees procedures are written for
tasks that are done
repeatedly and by more
than one individual.
  A series of steps that ensure an
employee’s right to due process and
right to be heard
 Ensures that employees understand
the required performance and
Progressive behavioural standards and
consequences for poor performance
Discipline • Step 1) Verbal Notice
• Step 2) Written Notice
• Step 3) Suspensions
 Establishes expectations and
predictability

Applies consequences fairly and

consistently
Why
Corrects inappropriate behavior and
Progressive poor performance

Discipline? Helps rehabilitate employees with

potential

Protects against complaints and

lawsuits
 Progressive
Discipline –
Components
 Progressive Discipline - A
disciplinary process
characterized by the use of
more drastic penalties for each
repeated instance of poor
performance.
 Procedure - usually has a
minimum of 4 steps:
 Verbal warning
 Written warning
 Suspension
 dismissal
  Verbal Warning
 If employee is unaware of a policy
they are violating, they should be
coached instead of disciplined
 Prior to a verbal warning, manager
must become aware of the problem
and verify it exists
 The first step in employee discipline,
The which includes identification of the
problem and information sharing
Disciplinary between the manager and the
employee.
Process  Manager:
 Meets with employee
 States problem that has been
identified
 Listens to employee's perspective
 Discusses potential solutions with
employee
 Ends on a positive, hopeful note
  Written Warning
 The second, more formal,
step in employee discipline,
which includes stating the
The problem and noting
repetition over time.
Disciplinary  Includes:
Process  Meeting similar to verbal
warning
 Placement of formal
document in the
employee's file
  Suspension
 The third step in the employee
disciplinary process, in which
The the employee is given time off,
usually without pay, to
Disciplinary demonstrate the seriousness of
Process the problem.
 Manager meets with employee
as before, and review formal
documentation of suspension.
  Dismissal
 The final action in the
The employee disciplinary
Disciplinary process, which leads to the
end of employment and that
Process results after repeated
failure of the employee to
correct the problem.
Consistency

 Discipline all similar offenses in the

same way
 Make discipline appropriate to the
offense
 Give the employee an opportunity
to correct the problem
Consistency

 Always follow the

organization's discipline
policy
 Respond to all rule
violations immediately
 Use discipline only for
genuine violations
Investigations

 Make sure you have all

the facts
 Document findings
 Give workers the chance
to explain
 Interview witnesses
Documentation

 Documentation
 A written record, in this case of
the disciplinary actions taken.
 Anecdotal Information
 Optional informal notes that are
sometimes kept by a manager
as a reminder of things that
have occurred.
Documentation

 Official documentation
 Documents dealing with progressive
discipline should include:
 Possible
consequences if this behavioral or
performance problem is not corrected
 Duration of the warning
 Signature of the manager
 Signature of the employee, with a
disclaimer regarding agreement
 ex: written warning for a diet clerk...
  Guidelines for anecdotal
information:
 System should be applied
uniformly to all employees
 Notes should be factual and
non-judgmental
Documentation  Notes are more useful if
dated
 Notes may be discarded when
no longer needed, or when
important information is
transferred to official
documents
  Official documentation
 Documents dealing with progressive
discipline should include:
 Behavioral or performance problem
for which the action is being taken
 Description of events and
discussions preceding this action
Documentation
 Description of the specific events
leading to this action
 The employee’s identifying
information
 The manager’s identifying
information
Dismissal

 Use only as a last resort or for very

serious violations
 Consult with HR and investigate
carefully
 Follow required dismissal procedures
 Meet with the employee
 Document the meeting in a signed report
Dismissal Meeting
 Provide employee with letter of dismissal that:
 Clearly state reasons for the decision
 Recaps the disciplinary steps taken
 Informs the employee regarding:
 Last day of employment
 What they can expect in terms of outstanding pay &
benefits
 Respect the advance notice guidelines required
by employment legislation
 Certain events may result in
dismissal without
progressive discipline
 Beforeimmediate dismissal, Special
manager should consider: circumstances
 Magnitude of problem
behavior
 Prior record of employee
 Substance use or Addiction
Alternatives to Discipline

01 02
Alternatives to the Employees can use
traditional the grievance
disciplinary process procedure to resolve
include the use of conflicts with
employee assistance management.
programs.
Impact of Historic Trauma
 Individual Relations
 Tendency to direct our rage, fear, indignation, frustration,
and powerlessness at those closest to us
 Group Effort
 Tendency to criticize, invalidate and dump negative
attitudes on each other when we come together as a group.
 Leadership
 Distress patterns cause us to attack, criticize, or have
unrealistic expectations of anyone who has the courage to
step forward and take on leadership responsibilities.
 Mistrusting Our Thinking
 Various forms of institutionalization have given rise to
patterns that cause us to mistrust our own thinking. We
carry around doubts about our own thoughts and tend to
doubt the thoughts of others in our community
 Learning and Long-Range Goals
 Internalized racism and deep feelings of powerlessness
combine to make it very difficult for us to commit ourselves
to flexible thinking all the time, to take correct action
toward long-range goals and objectives, or to initiate efforts
with delayed rewards.
Trauma Informed Approach

Approach that is based on the

following principles:

Trauma Recognition of the need for a

Informed healing approach

Approach Recognition of the impact of

historic trauma is taken into
consideration in policies,
procedures, practices and work
settings
Commitment to treat everyone
from a welcoming perspective
with a culture of safety, trust
and respect
Trauma Informed Principles

Safety
Need for a healing approach
Strength-
Based Trust
Approach
Impact of historic trauma is
Trauma taken into consideration in
Informed policies, procedures,
practices and work settings
Choice
Collaboratio
and
n
Control Commitment to treat
everyone from a welcoming
Compassion perspective with a culture of
safety, trust and respect
Self-Care

Awareness of the need to take care of oneself

through:

Connection

Balance

Awareness
Employee
Assistance
Programs

 Employee Assistance
Programs (EAPs) - Plans
that provide employees
with support in dealing
with personal
crises (such as
substance abuse,
stress, or grief)
that could negatively
impact work
performance.
Employee Assistance Programs

 Benefits:
 Enables the employee to be productive
again
 Avoidance of time/energy needed for
progressive discipline
 Cost savings (legal fees, new employee
need not be hired/trained)
 Employee is assisted in dealing with a
potentially devastating personal crisis
Disabilities: duty to accommodate

Under most Canadian Employers have the

Employers cannot
Human Rights duty to accommodate
discriminate against an
Legislation disabilities to the
employee who has an
• ADDICATION = A DISABILITY POINT OF UNDUE
addiction.
HARDSHIP.
Steps for Accommodation

Put the roles, responsibilities and expectations in writing

Have all parties sign the agreement

Identify accommodation components based on the

employee’s medical information

Designate a ‘go-to’ person that an employee can go to

with concerns or questions about accommodation
plans

Determine what changes in the employee’s behaviour or

performance that will be deemed significant and when
there would be a need for updated medical information
 Time-off to get treatment

Change in working conditions

Other measures
Accommodation
measures Employers are not required to:

• Pay for time-off to pursue treatment

• Compromise the safety of the workplace or keep

employee in job in which they do not perform
• Enforce treatment plan
 Disclose addiction & request
accommodation

Provide information

Employee’s
obligations Seek and attend treatment

Participate in accommodation process

Accept suitable, reasonable

accommodation offered
Key Points to Remember

 Steps in progressive discipline: verbal warning, written

warning, suspension, and dismissal
 Be consistent and follow the organization’s HR policy
 Help employees correct discipline problems
 Protect yourself and the organization by documenting
disciplinary actions
 Think about using alternatives to discipline
Questions
Manon Lamontagne, President
MLRB Consulting Services Inc.

28 rue Watt
Chateauguay, Quebec J6J 1P5
(514) 831-7453
mlamont@videotron.ca