Health & Safety Excellence for Supervisors
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Health & Safety Excellence for Supervisors. Presented by JOHN EVINGER. Housekeeping. Cell Phones Washrooms In case of emergency Coffee, pop, snacks, etc. Breaks and other important notes. MUSTER POINT. Who We Are.

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Cell Phones


In case of emergency

Coffee, pop, snacks, etc.

Breaks and other important notes


Who we are
Who We Are

  • Vision– Safety Services Manitoba (SSM) will be a leader in making Manitoba the safest province in which to live and work.  SSM will be seen as an active partner in the community – a safety hub for Manitobans of all ages.   We will be innovative and responsive to the market and our partners by creating new services, developing new models of delivery and providing the very best quality in safety training and consulting.  Think safety – think SSM.

  • Core Purpose - Make Manitoba safer with innovative, responsive safety services.

  • Core Values

    Our core values are timeless.  They define our beliefs at a deep core level.

    We value:

  • People – we are dedicated to helping Manitobans be safe

  • Service Excellence – we strive for the highest quality, professionalism and accountability in all that we do

  • Relationships/Partnerships – we believe in teamwork and developing solid relationships with our clients and partners

Safety services manitoba
Safety Services Manitoba

  • Manitoba’s safety expert

    • Occupational

    • Road

    • Community

  • 50+ years of experience

  • Seamless service across the province

    • Our facility

    • Your site

    • Online

The landscape of safety
The Landscape of Safety

Occupational Health and Safety


Set, communicate and enforce standards


Insures employers

  • Compensates for loss – something has already gone wrong


Your partner in prevention

  • Comply with standards and regulations

  • Reduce insurance costs

Course schedule
Course Schedule


Due Diligence






Hazard Recognition

Risk Assessment / JHA



Train the Trainer


Advanced Accident Investigation


Practical investigation


Day 5

Training Presentations

Toolbox talks


Close out

Overview today

Module 1 - Due Diligence

Module 2 -Overview Occupational Health & Safety (OH&S)

Legislation (Act and regulations)

Module 3 - Internal Responsibility Systems for OH&S

Module 4 - Bill C 45

Module 5 - OH&S Management System

Communication Skills

Drugs & Alcohol

Due diligence1
Due Diligence

What is meant by due diligence?

  • Due diligence is the level of judgement, care, prudence, determination, and activity that a person would reasonably be expected to do under particular circumstances.

  • Applied to occupational health and safety, due diligence means that employers shall take all reasonable precautions, under the particular circumstances, to prevent injuries or accidents in the workplace. This duty also applies to situations that are not addressed elsewhere in the occupational health and safety legislation.

  • To exercise due diligence, an employer must implement a plan to identify possible workplace hazards and carry out the appropriate corrective action to prevent accidents or injuries arising from these hazards.

Due diligence2
Due Diligence

The conditions for establishing due diligence include several criteria:

  • The employer must have in place written OH&S policies, practices, and procedures. These policies, etc. would demonstrate and document that the employer carried out workplace safety audits, identified hazardous practices and hazardous conditions and made necessary changes to correct these conditions, and provided employees with information to enable them to work safely.

  • The employer must provide the appropriate training and education to the employees so that they understand and carry out their work according to the established polices, practices, and procedures.

  • The employer must train the supervisors to ensure they are competent persons, as defined in legislation.

  • The employer must monitor the workplace and ensure that employees are following the policies, practices and procedures. Written documentation of progressive disciplining for breaches of safety rules is considered due diligence.

Due diligence3
Due Diligence

Why does due diligence have special significance?

  • "Due diligence" is important as a legal defense for a person charged under occupational health and safety legislation. If charged, a defendant may be found not guilty if he or she can prove that due diligence was exercised. In other words, the defendant must be able to prove that all precautions, reasonable under the circumstances, were taken to protect the health and safety of workers.

Due diligence4
Due Diligence

  • There are obviously many requirements for the employer but workers also have responsibilities. They have a duty to take reasonable care to ensure the safety of themselves and their coworkers - this includes following safe work practices and complying with regulations.

  • The employer should have an accident investigation and reporting system in place. Employees should be encouraged to report "near misses" and these should be investigated also. Incorporating information from these investigations into revised, improved policies, practices and procedures will also establish the employer is practicing due diligence.

  • The employer should document, in writing, all of the above steps: this will give the employer a history of how the company's occupational health and safety program has progressed over time. Second, it will provide up-to-date documentation that can be used as a defense to charges in case an accident occurs despite an employer's due diligence efforts.

Bill c 45
Bill C-45

What is Bill C-45?

  • Bill C-45 is federal legislation that amended the Canadian Criminal Code and became law on March 31, 2004. The Bill established new legal duties for workplace health and safety, and imposed serious penalties for violations that result in injuries or death. The Bill provided new rules for attributing criminal liability to organizations, including corporations, their representatives and those who direct the work of others.

Bill c 45 s 217 1 of the criminal code
Bill C-45 (s. 217.1 of the Criminal Code)

  • Metron pleads guilty to criminal charges, Crown seeks $1M penalty

  • The chargesFollowing its investigation, the Ministry of Labour laid a total of 61 charges against multiple parties under the Occupational Health and Safety Act (“OHSA”). Among the charges, thirty were laid against Metron, fifteen charges were laid against its president and another eight charges against a company supervisor. Swing N’ Scaff Inc., the company that provided the swing-stage being used at the time of the accident, was also charged with four OHSA offences and its director was charged with an additional three OHSA offences.Following its own investigation, the Toronto Police also laid numerous criminal charges. Metron, its president, and a supervisor were each charged with four counts of criminal negligence causing death and one count of criminal negligence causing bodily harm. Criminal charges against the supervisor are still pending. A preliminary hearing commenced on May 7, 2012 in Toronto and is ongoing. In this hearing, a judge will assess if there is sufficient evidence for the matter to proceed to a criminal trial.

Bill c 451
Bill C-45

New Sections of the Criminal Code

  • Bill C-45 added Section 217.1 to the Criminal Code which reads:

  • "217.1 Every one who undertakes, or has the authority, to direct how another person does work or performs a task is under a legal duty to take reasonable steps to prevent bodily harm to that person, or any other person, arising from that work or task.“

Bill c 452
Bill C-45

  • Bill C-45 also added Sections 22.1 and 22.2 to the Criminal Code imposing criminal liability on organizations and its representatives for negligence (22.1) and other offences (22.2).

Bill c 453
Bill C-45

Why was Bill C-45 (Section 217.1 in the Criminal Code) created?

  • Bill C-45, also known as the "Westray Bill", was created as a result of the 1992 Westray coal mining disaster in Nova Scotia where 26 miners were killed after methane gas ignited causing an explosion. Despite serious safety concerns raised by employees, union officials and government inspectors at the time, the company instituted few changes. Eventually, the disaster occurred.

    May 9, 1992, at 5:18 a.m. methane explosion occurs

    All 26 miners in the mine perish

    Poor conditions at the mine included:

    – roof collapses, ventilation problems

    – high concentrations of methane gas

    – non-compliance with “stone dust” orders

    Known to workers, management and regulators

Bill c 454
Bill C-45

  • After the accident the police and provincial government failed to secure a conviction against the company or three of its managers. A Royal Commission of Inquiry was established to investigate the disaster. In 1998, the Royal Commission made 74 recommendations. The findings of this commission (in particular recommendation 73) were the movement that led to Bill C-45.

    Recommendation #73:

    “The Government of Canada, through the Department of Justice, should institute a study of the accountability of corporate executives and directors for the wrongful or negligent acts of the corporation and should introduce in the Parliament of Canada such amendments to legislation as are necessary to ensure that corporate executives and directors are held properly accountable for workplace safety”.

Bill c 455
Bill C-45

What are the main provisions of Bill C-45 (Section 217.1 in the Criminal Code)?

Bill C-45 (Section 217.1 in the Criminal Code):

  • Created rules for establishing criminal liability to organizations for the acts of their representatives.

  • Establishes a legal duty for all persons "directing the work of others" to take reasonable steps to ensure the safety of workers and the public.

  • Sets out the factors that courts must consider when sentencing an organization.

  • Provides optional conditions of probation that a court may impose on an organization

Ohs legal duty s 217 1
OHS legal duty – s. 217.1

  • • Applies to any person in authority

  • • From Board of Directors to working lead hand

  • • Legal duty to take “reasonable steps”

What does this mean
What does this mean?

If there is an accident, injury or fatality in your workplace, you will be charged by the Ministry / Department of Labour

Note: By law, the Company can not pay for your fines or do your time

Over 50% of all Ministry / Department of Labour charges are for ... "failure to adequately train"

Bill c 456
Bill C-45

Can a company be charged under a provincial OH&S act and the Criminal Code at the same time?

  • Yes, it is possible. It is common practice for both police and health and safety inspectors to both investigate a serious workplace accident. In most cases, the police and provincial authorities would work together to decide which charges should be made. While it is unlikely that two sets of charges would be made, technically speaking, charges can be laid under both the criminal code by the police and the Occupational Health and Safety Act or regulations by provincial authorities.



Two types of law in Canada:

Federal - Canada Labor Code II

  • Applies to federal employees and undertakings, such as banks, airways and railways

    Provincial and Territorial

  • Governing OH&S within their respective boundaries



  • WCA and OH&S Regulation

  • Motor Vehicle Act

  • Manufacturers Specifications

  • Standards, C.S.A., A.N.S.I.

  • Environment Management Act

  • By-Laws


  • Own policies and rules


Occupational Health & Safety Act

  • The Occupational Health and Safety Act came into force on 1978

  • Its purpose is to protect workers against health and safety risks and hazards on the job

  • The main features of the Act are manifested in select aspects of the Internal Responsibility System “.



  • Provide specific rules and procedures for many circumstances

  • Cannot exceed the authority of the Act;

  • Cannot exist without a “parent” Act

  • Some are sector specific, relating to the industry, occupation, activity or hazard

  • May be many different regulations made pursuant to one Act


Examples of content:

  • – Definition of “Serious Injury”

  • – Accident/injury reporting requirements

  • – Designated Substances such as Asbestos

  • – Workplace Hazardous Materials Information System (WHMIS)

  • – Construction Projects & OH&S Committees

  • – Structured Safety Program Requirements

  • – OH&S Committee mandate & training


  • Very detailed

  • Not legally enforceable on their own, but may be adopted by reference into a regulation or an Act (rare) and are often used as evidence for a standard expressed in an Act or regulation

  • Often originate with a non non-governmental body

  • Example: CSA (fall protection/eye protection), ACGIH chemical exposure limits


  • The failure by any person to observe any provision of an approved code of practice is not of itself an offence.

  • Where a person is charged with a breach of any provision of the regulations in respect of which the director has issued a code of practice, that code is admissible as evidence in a prosecution for the violation of the provision of the regulation.

  • Where a code of practice is admitted as evidence and a prima facie case of non-compliance with the code of practice is established, the onus is on the accused to prove that he has complied with the regulation.


The Workplace Partnership

  • Workers and Employers MUST share the responsibility for occupational health & safety

  • The concept of the internal responsibility system is based on the principle that the workplace parties themselves are in the best position to identify health and safety problems and to develop solutions.

I r s internal responsibility system
I.R.S(Internal Responsibility System)

Ideally, the internal responsibility system involves everyone, from the top the bottom

  • How well the system works depends upon whether there is a complete, unbroken chain of responsibility and accountability for health and safety

    (not a labor relations approach)

  • The IRS requires a sound and cogent management system, structure, policies and procedures

I r s internal responsibility system1
I.R.S(Internal Responsibility System)

What is the Internal Responsibility System?

  • The internal responsibility system puts in place an employee-employer partnership in ensuring a safe and disease free workplace. A health and safety committee is a joint forum for employers and employees working together to improve workplace health and safety.

I r s internal responsibility system2
I.R.S(Internal Responsibility System)

How does the Internal Responsibility System work?

  • The internal responsibility system is the underlying philosophy of the occupational health and safety legislation in all Canadian jurisdictions. Its foundation is that everyone in the workplace - both employees and employers - is responsible for his or her own safety and for the safety of co-workers. Acts and regulations do not always impose or prescribe the specific steps to take for compliance. Instead, it holds employers responsible for determining such steps to ensure health and safety of all employees.

I r s internal responsibility system3
I.R.S(Internal Responsibility System)

  • Internal responsibility system does the following:

  • Establishes responsibility sharing systems

  • Promotes safety culture

  • Promotes best practice

  • Helps develop self reliance

  • Ensures compliance

Basic responsibilities
Basic Responsibilities

  • Employees responsibilities include the following:

  • responsibility to work in compliance with OH&S acts and regulations

  • responsibility to use personal protective equipment and clothing as directed by the employer

  • responsibility to report workplace hazards and dangers

  • responsibility to work in a manner as required by the employer and use the prescribed safety equipment.

  • Employees have the following three basic rights:

  • right to refuse unsafe work

  • right to participate in the workplace health and safety activities through Joint Health and Safety Committee (JHSC) or as a worker health and safety representative

  • right to know, or the right to be informed about, actual and potential dangers in the workplace

Responsibilities supervisor
Responsibilities - Supervisor

As a manager or supervisor, he or she:

  • Leadership = Role model

  • Train and reinforce safe behavior

  • Correct unsafe acts and conditions

  • Assess and correct hazards

  • Comply with legislation

  • Enforce safety rules & requirements

  • Maintain safe workplace

  • Must advise workers of potential and actual hazards

  • Must take every reasonable precaution in the circumstances for the protection of workers.

Role o f the supervisor
Role of the Supervisor


  • Know Supervisor's role in protecting workers

  • Know safety responsibilities

  • Incorporate safety into job planning

  • Purpose of hazard assessments

  • Interpret legislated requirements

  • Corporate culture & impact on safety

Can csa z1001 occupational health and safety training
CAN/CSA-Z1001Occupational Health and Safety Training

New training Standard developed for Supervisors…

  • Roles & Responsibilities

  • The Internal Responsibility System (IRS)

  • Hazard Recognition & Control

  • Risk Assessment

  • Emergency Procedures

  • Accident Investigation

  • Inspections

  • Auditing Skills

  • Training

Can csa z1001 occupational health and safety training1
CAN/CSA-Z1001Occupational Health and Safety Training

  • Communication Skills

  • Verbal – groups

  • Written – Individual

  • Written – General

  • Written – Procedures

  • Aural – Active Listening

  • Motivation & Discipline

  • Managing the Troubled Employee

  • Off the Job Safety

  • Problem Solving Skills

  • First Aid

  • WHMIS / Chemical Safety

  • Industrial Hygiene & Medical Surveillance Programs

Competent person
Competent Person

What makes you a competent person?


Knowledge of the Act


Responsibilities employer
Responsibilities - Employer

  • An employer must:

  • establish and maintain a joint health and safety committee, or cause workers to select at least one health and safety representative

  • take every reasonable precaution to ensure the workplace is safe

  • train employees about any potential hazards and in how to safely use, handle, store and dispose of hazardous substances and how to handle emergencies

  • supply personal protective equipment and ensure workers know how to use the equipment safely and properly

  • immediately report all critical injuries to the government department responsible for OH&S

  • appoint a competent supervisor who sets the standards for performance, and who ensures safe working conditions are always observed

Can csa z1000 06 occupational health and safety management
CAN/CSA-Z1000-06Occupational health and safety management

  • Audit — the systematic and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which the audit criteria are fulfilled.

  • Audit program — a set of one or more audits planned for a specific time frame and directed towards a specific purpose.

    Note: An audit program includes all activities necessary for planning, organizing, and conducting the audits.

  • Competence — demonstrated ability to apply OHS knowledge and skills.

  • Continual improvement — the process of enhancing the OHSMS to achieve ongoing improvement in overall OHS performance.

  • Contractor — an organization or individual providing services to another organization in accordance with agreed-upon specifications, terms, and conditions.

  • Document — a medium containing information related to the OHSMS.

  • Ergonomics — integrated knowledge derived from the social and technical sciences, used to match jobs, systems, products, and environments with the physical and mental attributes of the people involved.

Can csa z1000 06 occupational health and safety management1
CAN/CSA-Z1000-06Occupational health and safety management

  • Hazard — a source of potential harm to a worker.

  • Incident — an occurrence, arising in the course of work, that could result in an injury or illness (includes near misses).

  • Legal requirements — requirements of applicable OHS federal, provincial/territorial, and municipal laws, regulations, and bylaws, and where applicable, provisions of the organization’s collective agreements that relate to health and safety.

  • Occupational health and safety management system (OHSMS) — part of the overall management of the organization that addresses OHS hazards and risks associated with its activities.

  • Organization — a company, operation, undertaking, establishment, enterprise, institution, or association, or a part or combination thereof, that has its own management. An organization may be incorporated or unincorporated, public or private.

Can csa z1000 06 occupational health and safety management2
CAN/CSA-Z1000-06Occupational health and safety management

  • Other requirements — other OHS provisions to which the organization subscribes.

  • Procedure — a documented method to carry out an activity.

  • Process — a set of interrelated or interacting activities, that transforms inputs into outputs.

  • Record — a document that states results achieved or provides evidence of activities performed.

  • Risk — a combination of the likelihood of the occurrence of a hazardous event and the severity of harm caused by the event

  • System — a set of interrelated or interacting elements.

  • Worker — a person employed by the organization or a person under the day-to-day control of the organization.

  • Worker representative — a non-managerial worker who is

    (a) a member of the workplace health and safety committee;

    (b) a representative of other workers according to the requirements of law or collective agreements; or

    (c) selected by non-managerial workers for other reasons.

  • Workplace parties — managers (including supervisors), workers, and worker representatives.

Can csa z1000 06 occupational health and safety management3
CAN/CSA-Z1000-06Occupational health and safety management

From problem-faced to problem-solved

  • The PDCA Cycle is a checklist of the four stages which you must go through to get from `problem-faced' to `problem solved'. The four stages are Plan-Do-Check-Act, and they are carried out in the cycle illustrated below.

  • Activities

  • Controls

  • Documentation

  • Resources

  • Objectives

  • Deploy… and conform with plan

  • Analyze/review

  • Decide/change

  • Improve effectiveness

  • Measure and monitor for conformity and effectiveness

Pdca cycle
PDCA Cycle

  • Plan-Do-Check-Act

  • Here is what you do for each stage of the Cycle:

  • Plan to improve your operations first by finding out what things are going wrong (that is identify the problems faced), and come up with ideas for solving these problems.

  • Do changes designed to solve the problems on a small or experimental scale first. This minimises disruption to routine activity while testing whether the changes will work or not.

  • Check whether the small scale or experimental changes are achieving the desired result or not. Also, continuously check nominated key activities (regardless of any experimentation going on) to ensure that you know what the quality of the output is at all times to identify any new problems when they crop up.

  • Act to implement changes on a larger scale if the experiment is successful. This means making the changes a routine part of your activity. Also Act to involve other persons (other departments, suppliers, or customers) affected by the changes and whose cooperation you need to implement them on a larger scale, or those who may simply

Model of an occupational health safety management system
Model of an occupational health & safety management system

  • Do

  • Preventive & protective measures

  • Emergency prevention, preparedness, & response

  • Competence & training

  • Communication & awareness

  • Procurement & contracting

  • Management of change

  • Check

  • Monitoring & measurement

  • Incident investigation & analysis

  • Internal audits

  • Preventive & corrective action

  • Plan(Policy)

  • Legal & other requirements

  • Hazard & risk identification & assessment

  • OHS objectives & targets

  • Act

  • Management review

  • Continual improvement

Can csa z1000 06 occupational health and safety management4
CAN/CSA-Z1000-06Occupational health and safety management Responsibility, accountability, and authority

Senior management shall provide leadership for OHS activities and assume overall responsibility for the OHSMS. This responsibility includes

  • (a) establishing, actively promoting, and maintaining the OHSMS;

  • (b) providing appropriate financial, human, and organizational resources to plan, implement, check, review, and correct the OHSMS;

  • (c) defining roles, assigning responsibilities, establishing accountability, and delegating authority to implement an effective OHSMS;

  • (d) establishing and implementing an OHS policy and measurable objectives;

  • (e) reviewing the organization’s OHSMS at planned intervals;

  • (f) ensuring that workers and worker representatives are consulted as required by this Standard; and

  • (g) encouraging active participation on the part of workers and worker representatives in the establishment and maintenance of the OHSMS.

Quality management
Quality Management

Quality is a Lousy Idea…

If it’s Only an Idea

  • Quality = The degree to which a set of inherent characterstics fulfils requirements.

Quality management1
Quality Management

  • Quality Control

    A series of analytical

    measurements used to assess the quality of the

    analytical data

    (The “tools”)

  • Quality Assurance vs.

    An overall management plan to guarantee the

    integrity of data

    (The “system”)

True value vs measured value
True Value vs. Measured Value

Measured Value

The result of an individual’s measurement of a quantifiable property

True Value

The known, accepted value of a quantifiable property

Accuracy vs precision
Accuracy vs. Precision

Precision (consistent)

How well a series of measurements agree with each other


How well a measurement agrees with an accepted value

Accuracy vs precision1
Accuracy vs. Precision

Not accurate or precise…completely off target


Leadersestablish unity of purpose and direction of the organization. They should create and maintain the internal environment in which people can become fully involved in achieving the organization’s objectives.


Leadership is providing role model behaviors consistent with the values of the organization.

Behavior that will deliver the organizations objectives.

Internal environment includes the culture and climate, management style, shared, trust, motivation and support.

Application of the principle leadership
Application of the principle- Leadership

  • Considering the needs of all interested parties including… customers, owners, employees, suppliers, financier, local communities and society as whole.

  • Establishing a clear vision of the organization’s future.

  • Setting challenging goals and targets.

  • Creating and sustaining shared values, fairness and ethical role models at all levels of the organization.

  • Establishing trust and eliminate fear.

  • Providing people with the required resources training and freedom to act with responsibility and accountability.

  • Inspiring, encouraging and recognizing people’ contributions.

Involvement of people
Involvement of People

People at all levels are the essence of an organization and their involvement enables their abilities to be used for the organization’s benefit


involving people means sharing knowledge, encouraging and recognizing their contribution, utilizing their experience and operating with integrity.

Application of the principle involvement of people
Application of the principle – Involvement of people

a)People identifying constraints to their performance.

b)People evaluating their performance against personal goals and objectives.

c)People actively seeking opportunities to enhance their competence, knowledge and experience.

d)People freely sharing knowledge and experience

e)People openly discussing problems and issues.

Process approach
Process Approach

A desired result is achieved more efficiently when activities and their related resources are managed as a process


Processes are dynamic-they cause things to happen. Processes within an organization should be structured in order to achieve a certain objective in the most efficient and effective manner.

Application of the principle process approach
Application of the principle - process Approach

a)  Systematically defining the activities necessary to achieve/obtain desired results.

b) Establishing clear responsibility and accountability for managing key activities.

c) Analyzing and measuring of the capabilities of key activities

d)     Identifying the interfaces of key activities within and between the functions of the organization.

e) Evaluating risks,consequences and impacts of activities on customers,suppliers and other interested parties.

System approach to management
System Approach to Management

Identifying, understanding and managing interrelated processes as a system contributes to the organization’s effectiveness and efficiency in achieving it’s objectives


Systems are constructed by connecting interrelated processes together to deliver the system objectives which in the case of the QMS is the satisfaction of the interested parties.




Safe Work Procedures

Primary Gear

OH&S System


Emergency Response


Application of the principle system approach
Application of the principle – system Approach

a) Structuring a system to achieve the organizations objectives in the most effective and efficient way.

b) Understanding the interdependencies between the processes of the system

c)  Structured approach that harmonize and integrate processes.

d)  Providing a better understanding of the roles and responsibilities necessary for achieving common objectives and thereby reducing cross functional barriers.

e) Targeting and defining how specific activities within a system should operate.

Continual improvement
Continual Improvement

Continual improvement of the organization’s overall performance should be a permanent objective of the organization


Continual improvement is the progressive improvement in organizational efficiency and effectiveness.

Application of the principle continual improvement
Application of the Principle- Continual Improvement

  • Employing a consistent organization-wide approach to continuous improvement of the organizations’ tools of continual improvement

  • Providing people with the training in the methods and tools of continual improvement

  • Making continual improvement of products, processes, and the system an objective for every individual in the organization.

  • Establishing the goals to guide and lead.

Factual approach to decision making
Factual Approach to Decision Making

Effective decisions are based on the analysis of data and information


Facts are obtained from observations performed by qualified people using qualified means of measurements i.e. the integrity of the the information is known.

Application of the principle factual approach
Application of the principle – Factual Approach

  • Ensuring that data/information is sufficiently accurate and reliable.

  • Making data accessible to those who need them.

  • Analyzing data using appropriate tools.

  • Making decision and taking actions based on factual analysis, balanced with experience and intuition.


  • First things first: recognize what discipline actually means.

  • It is a follow-up to coaching. You do it because you have already given corrective feedback and suggested ways to correct the problem -and the employee in question has failed to heed your advice. Discipline is a way of declaring, "That correction needs to occur. If it doesn't, there will be consequences." It will sound basic, yet the truth is it's easy to make mistakes in this arena which

  • a) result in an ineffective session, after which nothing changes,

  • b) strain your relationship with your employee,

  • c) anger or upset him or her to the point of much worse performance (this, in turn, will lessen morale), and/or

  • d) lead to legal action against you or your firm.


  • Unpleasant as it can be, you have to address employee infractions. Here's why.

  • The initial as well as most obvious reason can be simply that: You expect your employee to do the right thing. You would like him/her to stop being rude to patrons or missing major deadlines or showing up two hours late each Monday

  • Conduct a discipline session ideally and you increase the likelihood that your employee will cease this offending behavior and improve dramatically.


  • The other reason not to let things slide can be a bit more complicated. Suppose your employee is merely, well, a lost cause? Suppose you know in deep down that he's not going to ever develop into an intuitive, innovative "happy corporate citizen?"

  • That's all the more grounds to discipline him. Perfectly-structured, properly documented discipline sessions - with all your I's dotted and T's crossed - may be half of the battle of getting him out the door . . .

  • Basically, there are three forms of disciplinary action:

  • You can give a written warning

  • You can suspend an employee without pay for a designated span of time

  • You can dismiss the employee


  • The first step to keeping your employee discipline problems to a minimum is making sure that the ground rules are clearly communicated to your employees. This way they know what they can and cannot do. You should also clearly communicate the discipline that will be doled out if employees break your rules. For this reason, you need to have a good disciplinary policy in place. Also.,.

  • HR Prerequisites

  • Training / Orientation

  • Good Supervision / Leadership

  • Procedures

  • Communication

The meeting
The Meeting

Getting Ready

  • Allow enough time to get ready for the meeting.

  • Complete a draft of a performance planning and review form. Ask the employee to fill out the review form before the meeting too. That way you are both ready to talk about how things have been going.

  • Schedule the interview.

    Ask yourself:

  • What would make the biggest difference to this person’s performance?

  • How can this person help the company reach its goals?

  • What training, education, coaching or experience does the individual need?

  • Is it time for this person to take on some new duties?

  • What goals should this person have for the coming year?

Steps to a productive meeting
steps to a productive meeting

  • Find out the employee’s view of things first. The performance review isn’t a time for surprises. The employee should know about your concerns from your day-to-day coaching.

  • This is a time to confirm and discuss progress on issues and goals and plan the future.

  • Talk about what you like about the employee’s performance. Give examples.

  • Focus on a small number of areas that are really important to the job.

  • Ask the employee how you can help the person improve his or her performance.

  • Don’t make promises you can’t keep.

Steps to a productive meeting1
steps to a productive meeting

  • Be clear about how you would like things to be in the future rather than re-hashing the past.

  • Find out where the employee wants to be in his or her career. Let the employee know what you are prepared to provide in the way of support.

  • Develop a small number of goals which address the issues that are important to you and the employee.

  • Agree on how the goals are going to be monitored.

  • Even when the employee has excellent performance, the employee may get upset or angry if you indicate you would like to see some improvement. Don’t be unnerved by this. Listen carefully to what the employee has to say. Make it clear that you want to make a good performance better. Make sure the person understands exactly what concerns you and why it is important.

  • When you do talk about an area you would like the employee to work on, use examples. Explain what the result is of the employee’s action. Give examples of how a situation could be handled differently.

Raising problems in performance appraisals
Raising problems in performance appraisals

  • Be clear at the beginning of the meeting that you have concerns that need to be addressed. Talk about the employee’s strengths as well as weaknesses. Give positive reinforcement for what you want to continue.

  • Be very clear about what the problem is. State the problem and the impact it has on the business. Give a recent example of the employee’s performance problem. Explain its impact. Give some examples of how it could have been handled differently. If you have seen the employee handle the same situation well, tell them that is what you would like to see..

  • If the employee becomes defensive, listen to what he or she has to say. Then ask the employee to listen to what you have to say. Explain why it is important that the problem be handled differently. Be clear what the consequences will be if the problem continues. If this a problem that could result in dismissal, say so.

  • Make sure that the employee understands the behaviour you need to see

Follow up

  • Get the performance planning and review form filled out right away. If no one can type the form, write it out neatly. Getting it done quickly is what is important. It shows the employee that it is important to you.

  • Commend the employee for good performance but make sure to include areas that need growth and improvement on the form. You are not doing an employee a favour by not documenting how performance can be improved.

  • Check into questions or issues that came up in the review and get back to the employee.

  • Enter any commitments you have made in your calendar.

  • Give positive reinforcement as well as any reminders you think are needed.

  • Don’t get in the way of the employee’s goals. Your job is to make sure the employee succeeds


Proactive approach to issues before they arise…

On – Going Assessments

Performance Reviews

Drugs alcohol
Drugs & Alcohol


  • Because the worker next to you may be drunk, high, or hungover.

  • More than 70 percent of substance abusers hold jobs; one worker in four, ages 18 to 34, used drugs in the past year; and one worker in three knows of drug sales in the workplace.

Drugs alcohol1
Drugs & Alcohol

  • Americans consume 60 percent of the world’s production of illegal drugs: 23 million use marijuana at least four times a week; 18 million abuse alcohol; 6 million regularly use cocaine; and 2 million use heroin.

  • In the workplace, the problems of these substance abusers become your problems. They increase risk of accident, lower productivity, raise insurance costs, and reduce profits. They can cost you your job; they can cost you your life.

Drugs alcohol2
Drugs & Alcohol

  • But substance abuse covers a range of behavior that goes far beyond dependency.

    Abuse may involve regular marijuana use, heavy drinking, weekend binges, casual consumption of tranquilizers, or misuse of other prescription drugs. It includes any use of drugs or alcohol that threatens physical or mental health, inhibits responsible personal relationships, or diminishes the ability to meet family, social, or vocational obligations

Drugs alcohol3
Drugs & Alcohol

Does it Threaten Jobs?

  • Substance abusers don’t have to indulge on the job to have a negative impact on the work- place. Compared to their non- abusing coworkers, they are:

  • Ten times more likely to miss work

  • 3.6 times more likely to be involved in on-the-job accidents (and 5 times more likely to injure themselves or another in the process)

  • Five times more likely to file a worker’s compensation claim

  • 33% less productive

  • Responsible for health care costs that are three times as high.

  • Substance abusers are not only five times more likely than other workers to cause injuries, they are also responsible for 40 percent of all industrial fatalities.

Communication what is it
Communication…what is it










Communication is a series of experience of


Communication is a series of experience of…


A communication problem within industry

See a normal scenario......

What makes a good communicator

  • An Active Listener (ear to mouth ratio)

  • An Effective Presenter,

  • A Quick Thinker.

  • A Win-Win Negotiator.

Value of listening

  • Listening to others is an elegant art.

  • Good listening reflects courtesy and good manners.

  • Listening carefully to the instructions of superiors improve competence and performance.

  • The result of poor listening skill could be disastrous in business, employment and social relations.

  • Good listening can eliminate a number of imaginary grievances of employees.

  • Good listening skill can improve social relations and conversation.

  • Listening is a positive activity rather than a passive or negative activity.

Process of communication1


  • Why to communicate?

  • What to communicate?

  • Usefulness of the communication.

  • Accuracy of the Information to be communicated.


  • The process of transferring the information you want to communicate into a form that can be sent and correctly decoded at the other end.

  • Ability to convey the information.

  • Eliminate sources of confusion. For e.g. cultural issues, mistaken assumptions, and missing information.

  • Knowing your audience.

Essentials of communication do s

  • Always think ahead about what you are going to say.

  • Use simple words and phrases that are understood by every body.

  • Increase your knowledge on all subjects you are required to speak.

  • Speak clearly and audibly.

  • Check twice with the listener whether you have been understood accurately or not

  • In case of an interruption, always do a little recap of what has been already said.

  • Always pay undivided attention to the speaker while listening.

  • While listening, always make notes of important points.

  • Always ask for clarification if you have failed to grasp other’s point of view.

  • Repeat what the speaker has said to check whether you have understood accurately.

Essentials of communication don ts

  • Do not instantly react and mutter something in anger.

  • Do not use technical terms & terminologies not understood by majority of people.

  • Do not speak too fast or too slow.

  • Do not speak in inaudible surroundings, as you won’t be heard.

  • Do not assume that every body understands you.

  • While listening do not glance here and there as it might distract the speaker.

  • Do not interrupt the speaker.

  • Do not jump to the conclusion that you have understood every thing.

Process of communication2

  • Verbal Communication Channels

    • Face-To-Face meetings,

    • Telephones,

    • Video Conferencing.

  • Written Communication Channels

    • Letters,

    • e-Mails,

    • Memos,

    • Reports.

How to improve existing level of communication
How To Improve Existing Level OfCOMMUNICATION?
















Process of communication3

Strengths and Weaknesses

  • Verbal Communication:

    Strength - Role of Body Language.

    Weakness -Not possible to give long list of directions

  • Written Communication:

    Strength - A proof of a communication

    Weakness - Written words does not show a person’s actual feelings.

Improving body language tips
Improving Body Language - Tips

  • Keep appropriate distance

  • Touch only when appropriate

  • Take care of your appearance

  • Be aware - people may give false cues

  • Maintain eye contact

  • Smile genuinely

Process of communication4


    • Listen actively,

    • Reading information carefully,

    • Avoid Confusion,

    • Ask question for better understanding.

  • The audience or individuals to whom we are sending the information.


  • The prior knowledge can influence the receiver’s understanding of the message.

  • Blockages in the receiver’s mind.

  • The surrounding disturbances.

Process of communication5


  • Various Cultures (Corporate, International, Regional, etc),

  • Language,

  • Location or Place (Restaurant, Office, Auditorium, Room, etc).

  • Situation

    The sender needs to communicate the context to the receiver for better clarity in the communication process.

Communication activities
Communication Activities

  • Listen & Draw

  • 2 minutes

  • Journal