Disciplinary Program

Disciplinary Program

Role of Disciplinary Systems in the Workplace:

The disciplinary system does not exist primarily to punish employees. Its purpose should be to control the work environment so that workers are protected and accidents are prevented. A disciplinary system helps ensure workplace safety and health by letting the Company�s employees know what is expected of them. It provides workers with opportunities to correct their behavior before an accident happens.

Policy Statement:

Employees need to know Cabell Sheet Metal & Roofing, Inc.�s position on safety and health and what the Company expects of them. They need a clear understanding of the rules and the consequences of breaking those rules. This is true in all areas of work, but it is especially important for worker safety and health. As part of the policy statement, and in the employee safety handbook, Cabell Sheet Metal & Roofing, Inc. has a written statement setting forth the Company�s disciplinary policy. Company managers and supervisors will always be on the lookout for safety violations and will conscientiously and vigorously enforce the Company�s commitment to safety.

Employee Information and Training:

It is important that employees understand the system and have a reference to turn to if they have any questions. Therefore, in addition to issuing a written statement of Cabell Sheet Metal & Roofing, Inc.�s disciplinary policy, the Company has drawn up a list of what it considers major violations of Company policy and less serious violations. This list specifies the disciplinary actions that will be taken for first, second, or repeated offenses. The Company will use the 5 Step Disciplinary System listed in Appendix B to correct minor, �General Offences� (that are listed on the next page).

The list for immediate termination and grounds for immediate discharge are:

1) Drinking alcohol, and/or drug abuse prior to or during working hours

2) Fighting, provoking or engaging in an act of violence against another person on Company property

3) Theft

4) Willful damage to property

5) Failure to wear Personal Protective Equipment (eye protection, hearing protection, safety helmets, etc.).

6) Not using safety harnesses and lanyards when there is a potential for falling

7) Removing and/or making inoperative safety guards on tools and equipment

8) Tampering with machine safeguards or removing machine tags or locks

9) Removing barriers and/or guardrails and not replacing them

10) Failure to follow recognized industry practices

11) Failure to follow rules regarding the use of company equipment or materials

12) Major traffic violations while using a company vehicle

13) Engaging in dangerous horseplay

14) Failure to notify the Company of a hazardous situation and

15) Other major violations of company rules or policies

General Offences requiring a warning and can lead to termination:

1) Minor traffic violations while using Company vehicles

2) Creating unsafe or unsanitary conditions or poor housekeeping habits

3) Threatening an act of violence against another person while on company property

4) Misrepresentation of facts

5) Unauthorized use of Company property

6) Excessive tardies and late to work

7) Disrespect and/or insubordination to authority

8) Other violations of Company Policy and rules

Training:

Training can reduce the need for disciplinary action. Cabell Sheet Metal & Roofing, Inc. shall instruct employees in the importance of workplace safety and health, the need to develop safety habits, the Company�s operations, safe work practices, and the hazards they control, and the standards of behavior that the Company expects. The Company�s employees must understand the disciplinary system and the consequences of any deliberate, unacceptable behavior.

Supervision:

Supervision includes both training and corrective action. Ongoing monitoring of Cabell Sheet Metal & Roofing, Inc.�s employees' work and safety habits gives the Company�s supervisors the opportunity to correct any problems before serious situations develop. In most cases, effective supervision means correcting a problem before issuing any punishment.

Where the relationship between employees and their supervisors is open and interactive, problems are discussed and solutions are mutually agreed upon. This type of relationship fosters a work environment where the need for disciplinary action is reduced. When such action is needed, the parties are more likely to perceive it as corrective than punitive.

Employee Involvement:

Employees are encouraged to help informally in the enforcement of rules and practices. The intent here is not to turn employees into spies and informers, but to encourage them to

be their "brother's keeper" and to watch out for the safety and health of their colleagues. Many employers successfully have encouraged an atmosphere -- a company "culture" � where employees readily speak up when they see an easily corrected problem, for example, a coworker who needs reminding to put on safety goggles.

The Company�s employees deserve the opportunity to correct their own behavior problems. An effective disciplinary system is a two-way process. Once a problem is spotted, discuss it with the employee, who should be given at least one or two opportunities to change the behavior or correct the problem. Only after these discussions (and possibly some retraining) should disciplinary action be taken.

Appropriate Control Measures:

Disciplinary actions need to be proportionate to the seriousness of the offense and the frequency of its occurrence. It is certainly inappropriate to fire someone for occasional tardiness. It is equally inappropriate to issue only oral warnings to an employee who repeatedly removes a machine guard. Appendix B provides an example of disciplinary actions in a five-step disciplinary system.

Disciplinary procedures should not be instituted without explanation. Cabell Sheet Metal & Roofing, Inc. will provide feedback to the employee on what behavior is unacceptable, why the corrective action is necessary, and how the employee can prevent future violations and disciplinary action. In addition, take time to recognize an employee who improves or corrects his/her behavior.

Consistent Enforcement:

Workers must realize that safe work practices are a requirement of employment and that unsafe practices will not be tolerated. It is necessary, therefore, that the employer have a disciplinary system that is implemented fairly and consistently.

If Cabell Sheet Metal & Roofing, Inc.�s disciplinary system is to work well and be accepted by the Company�s workforce, the system applies equally to everyone. This includes subjecting managers and supervisors to similar rules and similar or even more stringent disciplinary procedures.

For minor violations, supervisors shall meet with the employee to discuss the infraction and inform the employee of the rule or procedure that was violated AND describe the corrective action needed to remedy the situation.

Documentation:

One key to ensuring fairness and consistency in a disciplinary system is keeping good records. It is in the best interest of both the Company and the employee to have written rules and disciplinary procedures. It is just as important to document instances of good or poor safety and health behavior, including discussions with the employee, and to place relevant information in the employee's personnel file. The �Safety Hazard Citation�

On the next page will be used to document infractions.

When the Company is evaluating the managerial and supervisory skills of a supervisor, it provides a useful record of how they handled problems.

If warnings, retraining, and other corrective actions fail to achieve the desired effect, and if Cabell Sheet Metal & Roofing, Inc. decides to discharge an employee, then documentation becomes even more critical. Conversely, the Company will conduct an annual clearing of the personnel files of employees whose good overall safety records are marred by minor warnings.

Minor safety violations will be documented and a copy of the below form will become part of the employee�s personnel record:

Safety Hazard Citation Date: ___________

Name of Violator: _______________________________________________

Location of Violation: ______________________________________________

Type of Violation: _______________________________________________�

_______________________________________________�

Violator�s Signature:

_______________________________________________

A Copy of this Citation will be placed in the employees Employment File

Three Citations can be grounds for termination

Positive Reinforcement:

Each supervisor should provide frequent reinforcement of work practices training. The informal observation described above serves not only to gauge training effectiveness, but also to reinforce the desired behavior. Some worksites also provide special recognition for the use of safe work practices. Other supervisors periodically observe individual workers at their tasks and give oral and/or written feedback on what was done safely.

OSHA recommends award systems that recognize positive activities rather than absence of injuries. Award programs with prizes for hours worked without injury can put heavy pressure on workers not to report injuries.

APPENDIX A

Manager�s Disciplinary System Worksheet

The nature and severity of disciplinary action should be appropriate for the seriousness and frequency of the violation. Below are a series of questions designed to help you develop a disciplinary system that best meets the needs of Cabell Sheet Metal & Roofing, Inc.�s

workplace. Managers already may have addressed the first two areas when developing safe work practices for various jobs. If management has not yet developed these practices, it makes sense to do so before developing a disciplinary system. Other workplace problems, such as attendance and attitude, are equally important but are not addressed here.

1. Operations.

What key operation(s) occur at the Company�s workplace?

What equipment is used?

By whom?

What materials are used, and by whom?

Are there any hazards associated with the use of the equipment or the materials?

2. Practices and Procedures.

What are the key types of jobs at the Company�s workplace?

What do most people do in the course of their work?

What is the most efficient way for them to perform their jobs?

What is the safest way for them to perform their jobs?

(Note: You will need to perform a job hazard analysis to properly answer this. For

information, see OSHA Publication 3071 (Revised 1992), "Job Hazard Analysis."

3. Problems.

What would happen if a job or procedures were not done safely?

Exactly what would happen if an employee performed in an unsafe or unhealthful

manner?

What would happen if all employees did the same thing?

How serious would the consequences be?

Would the unsafe action or behavior affect just one employee, or all employees?

4. Correction.

For each type of safety and health violation you have identified, what kind of corrective

action seems appropriate?

What would you do for a second offense, or for repeated violations of the same rule? Should warnings be oral or written?

How long a suspension is warranted for what type of violation?

Are there any actions that should automatically result in termination?

For this last stage in developing the Company�s disciplinary system, you may find it helpful to develop a grid, like the one on the next page, to identify corrective actions for different kinds of violations and repetitions.

Appendix B

In the example below, a few types of safety problems are listed on the left and their frequency across the top. Fill in each box with the type of corrective action that you consider appropriate. Examples include oral warning, written warning, re-instruction, suspension, and termination.

	First Offense	Second Offense	Repeated Violations
Unsafe Work Habits
Refusal to Follow Safety Instructions
Unsafe Actions that Jeopardize Self and Others

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Five-Step Discipline System

First violation: Instruction/discussion concerning violation,

proper procedures, and the hazards

they control; notation for the

supervisor's file.

Second violation: Re-instruction with notation in the employee's

personnel file.

Third violation: Written warning describing the violation and

actions that will be taken if it recurs.

Fourth violation: Final warning; may include suspension.

Fifth violation: Discharge.

It is Company philosophy that all employees be trained in proper safety procedures and employees are expected to follow and adhere to all aspects of Company Safety Program. The close observance of all Federal, local and client rules and regulations will be monitored at all times.

If there is an infraction of these rules and regulations � the following disciplinary action will be taken:

1) Minor Infraction

Definition: Any infraction of government, corporate or client rules that does not have the immediate potential of causing serious damage or injury.

1^st offense � verbal warning from supervisor or management

2^nd offense � written notice with notice placed on file

3^rd offense � written notice + time off without pay

4^th offense � termination of employment

2) Major Infraction

Definition: Any infraction of government, corporate or client rules that does have the potential to cause immediate serious damage or injury.

1^st offense � time off without pay or termination

2^nd offense � termination of employment

SIGNED: ___________________________(EMPLOYEE)

SIGNED: ___________________________ (EMPLOYER)

DATE: _____________________________________