1. Culpable Behaviour and Progressive Discipline
Is this an issue of performance or culpable behaviour?
Culpable Behaviour vs. Performance Issues
- Administrator/supervisor must intervene with an employee when that employee’s behaviour is inappropriate.
- Inaction by employer regarding inappropriate behaviour may be seen by arbitrators to condone the behaviour.
- Every incident of culpable behaviour is unique; each one will have to be considered in the light of the particular context and specific circumstances.
When behaviour can be changed immediately, it is usually an issue of culpable behavior. Some examples of behaviours that could result in progressive discipline are:
- unauthorized absenteeism (without excuse)
- breach of board policy
- disclosure of confidential information
- insubordination (includes rudeness, disrespect, failure to follow direction)
- lateness
- sleeping on the job
- theft of board property.
Where time, support, training etc. are required for the change to occur, it is likely an issue of performance. Where there are a number of concerns with regards to the teacher’s performance, the teacher must be appraised. Refer to the Teacher Performance Appraisal Process Manual. For other employees, a different appraisal process may be in order, consult with the Human Resources Department. Culpable behaviour attracts discipline, whereas performance issues require support and further evaluation. Sometimes the two are linked, such as when a teacher, overwhelmed by her responsibilities and having trouble managing his/her classroom, “snaps”, yells and swears at students. Any situation that comes to your attention must be investigated, promptly and without bias or prejudgment.
Contact the Human Resources Department and your superintendent. If there needs to be communication with the community or parents, contact the board’s communication department. (See 2. for guidelines in conducting an investigation)
Note: if outside agencies (CAS, Police Services) are involved, they will likely conduct their investigation independently. This may occur before you begin your investigation, you may be directed to wait until their investigation is complete before beginning your own investigation on behalf of the board.
Upon learning that there is a situation to be investigated Contact your supervisory officer to review next steps.
Inform the employee
- that you have some concerns or that allegations have been made, and that you will be investigating
- that as part of your investigation the employee will be given an opportunity to provide a response to the concerns or allegations
- that they have a right to have a union representative accompany them to their meetings with you.
Meeting with the employee
- Outline your concerns and offer an opportunity for the employee to respond
- Make it clear that you have not reached any conclusions prior to this meeting
- You and the superintendent will decide when to provide concerns in writing
- Determine whether the superintendent will take part in any interviews.
Reach a Conclusion
- Apply the test of balance of probabilities: in other words, if the evidence suggests that it is more likely that an event happened than not, then it will be concluded to have happened.
- If it is likely that an event did not happen, or you cannot make a determination one way or the other, then the employee receives the benefit of the doubt.
If the administrator decides that there has been culpable behaviour, what does she/he need to consider?
- What is the context?
- Are there extenuating circumstances, such as personal issues or health issues?
- Was this event witnessed? Were police involved?
- Has an incident of a similar nature happened before?
- What action was taken in response?
- Is there any previous documentation?
(check personnel file – call the Human Resources Department)
- What are my choices in responding to the incident?
The Progressive Discipline Process
is the first step in the discipline process. Usually no record other than a note in your agenda/appointment book will exist, unless your board’s process requires a letter of record of a verbal warning.
- Letter of Counsel is a letter of expectations written by the principal and given to the employee. The board process will determine if this is filed centrally.
- Letter of Discipline or a written reprimand is a formal letter copied to your superintendent of education and the employee’s personnel file in employee services.
- Suspension without pay (number of days to be specified in the Letter of Discipline, in consultation with the employee’s employee services – teaching office and your superintendent of education)
- Recommendation for termination
Depending upon the circumstances, it may be appropriate to move directly to a more severe response, without going through all of the steps in the progression.
Any discipline itself is personal information about the employee and is confidential, and must be filed appropriately. Do not disclose employee discipline to parents,students or other employees.
What process does the administrator use for a formal letter of discipline?
As above, you must convene an initial meeting with the employee and the union representative to discuss the issue. The employee is offered the opportunity to respond to the allegation(s) at this meeting or at a subsequent meeting.
After hearing the employee’s response, and if you decide that the facts support a letter of discipline, contact the Human Resources Department to review drafts of the letter. Please refer to sample discipline letter.
The board-approved letter of discipline is given to the employee at a subsequent meeting with the employee and their union representative. At this meeting you will explain your conclusion to the employee and give the letter to the employee.
What happens to the letter once the employee has received it?
A copy of the letter must be forwarded to the Human Resources Department in order to be filed in the employee’s personnel file.
It is crucial that the letter indicate that it is being copied to the personnel file.
You are advised to keep your superintendent informed throughout the process.
Expect that the union will grieve the discipline, this is normal. Involve the Human Resources Department early in the process, as this will help you to avoid common pitfalls and will help to ensure a consistent response and process across the system.
(Source: Toronto District School Board, Employee Services – Secondary Teaching Office)
2. Guidelines for Conducting an Investigation
Procedures to Follow
Step 1: Upon Receiving Notice of Allegations/Complaints
- Contact your superintendent.
- Contact the board’s Human Resources Department for advice regarding
- whether the employee can remain on board property
- whether the employee should be asked to stay on paid home assignment for the duration of the investigation
- whether board or external investigator involvement is required. If so, they will be contacted by the board.
- Inform the employee that s/he should contact his/her union representative.
- Inform the employee that allegations have been made against him/her.
- You have a duty to investigate.
If it is determined that an investigation is required, it is critical that it occur within a reasonable amount of time and that the employee be informed of the outcome of the investigation in a timely manner.
- While on home assignment, inform the employee s/he should not be on board property, nor be in contact with any students or families in the school/program.
- The Board Human Resources Department will confirm the appropriate absence code to be entered.
- Consult with your family of schools superintendent/communications department regarding any communications to staff and school community.
Step 2: Pre-interviews
- Allow any outside agencies (CAS, police) to conduct their investigation independently
- Retain contact names/numbers of any agencies involved and dates that contact was made.
- In the case of an allegation by a student, the principal should contact the child’s parent(s) and inform them that an investigation is being undertaken.
- Inform the board office of any charges/actions to be considered.
Step 3: Interviews
- Principles of Procedural Fairness
- Gather evidence in a neutral and objective manner, being fair to all sides.
- Fact-Finding
- Process of gathering evidence to determine the validity of the complaint
- Seek answers to essential questions surrounding the event
- Who, what, where, when, why? Do not ask leading questions or otherwise influence the evidence of witnesses
- Interviewees
- Complainant – tells his/her story
- Witnesses – verifies/confirms/refutes allegations
- Person under investigation responds to allegation
- Additional witnesses, where needed
- Document all evidence from witnesses – dated
- Protects the integrity of the investigation later on
- Confidential comments should not be shared among witnesses, although the respondent needs to be informed sufficiently to enable him/her to provide a meaningful response.
Step 4: Reaching a Conclusion
- Draw conclusions, based on finding of interviews, and any relevant evidence
- Has each allegation been substantiated or not?
- Contact the Human Resources Department if you require any advice or guidance.
- If board investigators have been involved, their final report will be sent to the Human Resources Department. Information in this report may be shared with the principal.
- Consult with your superintendent.
Step 5: Meet with the Employee and Union Representative (1st Meeting)
- Consult with your superintendent to determine whether she/he will attend.
- Inform the employee as to the purpose of the meeting and your role.
- Use the notes from your investigation to guide/script your meeting.
- Keep meeting notes (second administrator or supervisory officer sits in on meeting for this purpose).
- Have employee provide his/her side of the story
- Inform the employee you will consider his/her input, any mitigating circumstances, etc.
- Do not share your recommendations or disciplinary action at this time
- it is very important that the process is procedurally fair so you must consider and reflect on the evidence from the employee.
- Post-meeting
- Weigh all the evidence, including employee and other witnesses: is discipline warranted?
- Consult with your superintendent to finalize your decision with any additional relevant information provided by the employee/union
- Inform board’s Human Resources Department of your decision and recommendation.
Step 6: Decision-making Process
- Consult with the Human Resources Department who will:
- Provide feedback to your decision
- Discuss next steps
Step 7:Write the Discipline Letter
- Draft a formal record of action(s) to be taken as a result of the substantiation of allegations.
- Consult with the Human Resources Department.
- Consult with your superintendent.
Step 8: Meet with the Employee and Union Representative in a Formal Disciplinary Meeting (2nd Meeting)
- A formal disciplinary meeting must be held to impose any discipline.
- Employee must be advised of his/her right to union representation.
- At the conclusion of the meeting, provide a copy of the letter to the employee.
- Forward a signed copy of the letter to employee services to be placed in the personnel file.
(Source: Toronto District School Board Employee Services – Secondary Teaching Office)
3. Confirmation of Verbal Warning – Sample
(Please seek additional direction from your board. Print on letterhead.)
Employee’s Full Name: ________________________________________________________________________
Work Location: ______________________________________________________________________________
Verbal Warning Meeting
Meeting date and time: ________________________________________________________________________
Individuals present at the Meeting: _______________________________________________________________
Description of the Unacceptable/Inappropriate Behaviour/Action
__________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________
Expectations with Regard to Behaviour in the Future (where appropriate, base this on related Acts, Regulations, Policy, etc.)
__________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________
Employee Information Shared in the Meeting (if available and relevant)
__________________________________________________________________________________________ __________________________________________________________________________________________
This behaviour is of concern and is serious enough to warrant discipline. This letter is confirmation of a verbal warning given to you in the meeting. Please note that future incidents of this nature may lead to further discipline, up to and including dismissal.
_______________________________________
Principal/Supervisor Signature |
______________________________
Date |
Original copy to the Employee; copy to the Human Resources File
(Source: Grand Erie District School Board, Admin Proc HR119 – Progressive Discipline)
4. Letter to Counsel an Employee and/or Clarify Expectations – Sample (Non-disciplinary)
(Please seek additional direction from your board. Print on letterhead.)
Date
(Name)
(School/Address)
Dear (Name):
This letter confirms information discussed in our meeting held on (date), regarding the fact that you have been late on two recent occasions. In addition to you and me, your union representative, (name), and (vp name), vice-principal of the school, were in attendance.
The meeting was held to discuss the fact that you were late arriving at school on two occasions last week – May 14 and May 17. On the first date, your students were left standing in the hallway because the first bell had rung at 8:42 a.m. and you had not yet arrived to open the door. I noticed the students gathered in the hall and I opened your classroom door to let them in and stayed with them until your arrival at 8:50 a.m. On the second date, when you had not arrived by 8:55 a.m., I was concerned that something had happened to you on your way to work. I called your home and was told by your son that you had just left a few minutes before. I had the learning resource teacher cover your classroom for you because I had a meeting with a parent. You arrived at about 9:10 a.m.
(name), I am concerned that you are not arriving at work in sufficient time to prepare for receiving your students in a professional and appropriate manner. In accordance with the Board’s Procedure HR 1.1 and Education Act Regulation 298, Section 20C(d), you are required to have your classroom ready for the reception of pupils at least 15 minutes before the commencement of classes in the morning. In our meeting, you indicated that you were prepared to ensure that you arrived on time in the future.
This letter clarifying expectations is non-disciplinary in nature and will be placed in your personnel file in Human Resources Services.
Yours truly,
(name)
Principal
cc Human Resources File
(Source: Grand Erie District School Board, Admin Proc HR119 – Progressive Discipline)
5. Letter of Discipline (Written Warning) – Sample
(Please seek additional direction from your Board. Print on letterhead)
Date
(Name)
(School/Address)
Dear (Name):
This letter confirms information we discussed in our meeting held on (date), regarding your continual lateness. This discussion occurred in the presence of your union representative, (name), and (vp name), vice-principal of the school.
The meeting was held to discuss your late arrival to school last week on March 28. As you will recall, at a meeting a month earlier, on February 6, you were disciplined and informed that your continual lateness was unacceptable and that continuation of such behaviour would result in disciplinary action. Despite this prior recorded verbal warning, you have continued to report to work late.
As I have indicated to you, your late arrival does not allow for you to receive your students in a professional and appropriate manner. In accordance with the Board’s Procedure HR 1.1 and Education Act Regulation 298, Section 20(d), you are required to have your classroom ready for the reception of pupils at least 15 minutes before the commencement of classes in the morning.
Since you have not changed your behaviour, this letter will serve as a formal written warning that will be placed in your personnel file in Human Resources Services. Future incidents of this nature may lead to further discipline, up to and including dismissal.
Yours truly,
(name)
Principal
cc Human Resources File
(Source: Grand Erie District School Board, Admin Proc HR119 – Progressive Discipline)
6. Progressive Discipline Procedure Flow Chart
