Discipline Grid - A Guide For Managers
Preamble
The discipline grid is a tool intended to guide managers in dealing with acts of misconduct. It is meant to assist management in appropriately and consistently applying discipline by providing a suggested range of typical disciplinary measures for acts of misconduct.
Since case law is always evolving, this document will be reviewed and adjusted as an evergreen tool.
Application
The discipline grid applies to all employees of Employment and Social Development Canada.
Context
- The discipline grid is a tool for managers and must be applied in conjunction with the Treasury Board Secretariat’s Guidelines for Discipline.
- The Deputy Minister has sub-delegated the authority to administer disciplinary measures to managers. Disciplinary measures must be imposed by the appropriate authority as outlined in the ESDC Table of Human Resources Authorities (DOCX, 341 KB) and as per the provisions of the relevant collective agreement.
- In exercising the authority to administer disciplinary measures, managers are accountable for ensuring procedural fairness and natural justice in the disciplinary process. Managers must ensure that the disciplinary process is conducted within a reasonable time, understanding that several factors may affect timeframes (e.g. ensuring procedural fairness).
- Managers are also accountable for ensuring that the nature of discipline is to be corrective, rather than punitive, and its purpose is to motivate employees to accept those rules and standards of conduct that are desirable or necessary to achieve the organization's goals and objectives. Only culpable misconducts are to be considered for disciplinary measures.
- The grid is not an exhaustive list of all the types of misconduct. It also does not consider repeated acts of misconduct (i.e. concept of progressive discipline). In addition, the associated grouping for each type of act of misconduct (i.e. Group 1 to 5) merely reflects the typical range of discipline that would be considered appropriate for a single act of misconduct based on jurisprudence. As a result of these important considerations, in exercising the authority to administer disciplinary measures, managers are accountable for reviewing and considering each act of misconduct on a case by case basis, including mitigating and aggravating factors. Most importantly, managers retain the authority to render a disciplinary measure outside (above or below) the range outlined for each group when circumstances warrant, up to and including termination of employment.
- In addition, as per the ESDC Table of Human Resources Authorities (DOCX, 341 KB), Human Resources (HR) must be consulted when contemplating discipline for a financial penalty, suspension, demotion or termination. HR in turn is responsible for providing management with a recommendation that is based on the specific circumstances of the misconduct.
Reference Chart
The reference chart is designed to guide managers in determining the appropriate range of discipline when applying the discipline grid below. The five (5) groups indicate the relative seriousness with which ESDC views the act of misconduct.
"Reference Chart" - Long Description
The grid provides a suggested range of disciplinary measures for acts of misconduct.
Each act of misconduct within the grid has been assigned to a group(s) associated with a range of disciplinary measures.
Four different types of misconduct have been categorized:
- Misconduct Related to Attendance, Absenteeism or Leave.
- Misuse of ESDC Facilities/ Property/ Information.
- Personal Misconduct.
- Misconduct Related to Conflict of Interest/ Contracting Rules.
The group(s) from 1 to 5 indicate the relative seriousness with which ESDC views the misconduct.
- Group 1 ranges from an oral reprimand to a five (5) days suspension.
- Group 2 ranges from a written reprimand to a ten (10) day suspension.
- Group 3 ranges from a one (1) day suspension to a twenty (20) days suspension.
- Group 4 ranges from a three (3) days suspension to a thirty (30) days suspension.
- Group 5 ranges from an eleven (11) days suspension to a Termination/Demotion.
The following are the types of disciplinary measures available for consideration, listed in ascending order of severity:
- Oral reprimand: A verbal disciplinary measure in which the manager clearly communicates to the employee the nature of the misconduct, the corrective action required, and the consequences of further misconduct.
- Written reprimand: A formal written notice to the employee clearly describing the nature of the misconduct, the corrective action required, and the consequences of further misconduct.
- Suspension: The temporary removal of the employee from the workplace, for a specified period of time, without pay. A suspension generally ranges from 1 to 30 working days. The length of the suspension must correspond with the seriousness of the misconduct and any relevant mitigating and aggravating factors.
- Termination: The separation of an employee from ESDC for misconduct. It may be used after a series of acts of misconduct when a culminating incident has occurred, a case of multiple misconducts, or for a single act of serious misconduct.
- Demotion: The appointment of an employee to a position that has a lower maximum rate of pay than the maximum rate of pay applicable to the employee's former position.
Note: The green/framed areas (Group 1, 2 and up to 5) indicate the typical range of discipline that would be considered appropriate for a single act of misconduct. The grey areas indicate the range of discipline that could be appropriate following an analysis of mitigating or aggravating factors. Repeated acts of misconduct may warrant progressing to subsequent groups.
Discipline Grid
The discipline grid is divided into four (4) categories:
- Misconduct Related to Attendance, Absenteeism or Leave
- Misuse of ESDC Facilities / Property / Information
- Personal Misconduct
- Misconduct Related to Conflict of Interest / Contracting Rules
Each of the above categories further defines acts of misconduct and attributes these within one of the five (5) groups found in the reference chart.
Note: The discipline grid is not exhaustive.
A. Misconduct Related to Attendance, Absenteeism or Leave
| Description | Group |
|---|---|
| Failure to notify of absence | 1 |
| Late arrival to work attributable to the employee | 1 |
| Leaving the workplace while on duty without authorization | 2 |
| Unauthorized absence from work | 2 |
| Falsely registering attendance or any other action that results in receiving remuneration for time not worked (including overtime) | 5 |
| Providing misleading rationale when requesting leave | 5 |
| Forgery of medical certificates | 5 |
B. Misuse of ESDC Facilities / Property / Classified and Protected Information
| Description | Group |
|---|---|
| Minor improper or careless use, or neglect, of ESDC property, equipment (including but not limited to purchasing or identification cards) | 1 |
| Breach of the ESDC – USB Storage Devices Directive | 1 |
| Unacceptable use of ESDC electronic networks, such as viewing or sharing non-work-related messages or images | 2 |
|
Unauthorized system access of information not required within scope of official duties *frequency of the unauthorized access may results in a higher level discipline group |
2 |
| Unacceptable activities that put ESDC’s electronic networks at risk (including but not limited to downloading unauthorized software that can harm the network, or other non-business material) | 3 |
| Misuse or neglect of ESDC property or equipment (including classified or protected information) that may result in damage, loss or theft | 3 |
| Unauthorized use of Individual Travel Card or Acquisition Card for personal purchases | 4 |
| Falsification of expense (such as improper use/falsification related to taxi chits, travel claims) | 5 |
| Forgery, falsification or suppression of ESDC documents | 5 |
| Unauthorized system access that includes use or modification of information resulting in preferential treatment, personal gain or conflict of interest | 5 |
C. Personal Misconduct
| Description | Group |
|---|---|
| Failure to adhere to standard of appearance | 1 |
| Minor negligence or careless disregard for proper performance of duties | 1 |
| Use of abusive language or profanity | 2 |
| Disregard for safety and health practices and instructions | 2 |
| Failure to report a work-related accident | 2 |
| Insubordination, including failure to carry out a clear direct order, or instruction to perform assigned work | 2 |
| Interfering with or impeding the work of others | 3 |
| Obstructing an administrative investigation | 3 |
| Condoning inappropriate behaviour in the workplace | 3 |
| Illicit activities on ESDC premises (i.e. consumption of illicit drugs, gambling, etc.). | 4 |
| Leading or inciting illegal work stoppages | 4 |
| Abuse of authority (i.e. inappropriate use of delegated authorities, including financial and human resources authorities) | 5 |
| Any offence endangering life and property | 5 |
| Violence in the workplace | 5 |
| Fraud (in various forms including program fraud) | 5 |
| Theft | 5 |
| Dishonesty, fraud, preferential treatment in a staffing process | 5 |
| Trafficking in illicit drugs | 5 |
| Violation of anti-harassment rules, including sexual harassment | 5 |
D. Misconduct Related to Conflict of Interest / Contracting Rules
| Description | Group |
|---|---|
| Failure to file or update a Conflict of Interest report | 1 |
| Conduct that could negatively affect the ESDC’s image, such as minor, inadvertent conflict of interest, disregard of contracting rules, or duty of loyalty situations (including misuse of social media) | 2 |
| Accepting inappropriate gifts or hospitality from the public | 4 |
| Soliciting or accepting a bribe | 5 |
| Any serious act that would bring ESDC or the Public Service into disrepute (serious violation of conflict of interest rules, disregard of contracting rules, inappropriate relationship with contractor, or duty of loyalty situations (including misuse of social media)) | 5 |
| Misrepresentation for personal gain | 5 |