CHAPTER 5
Policy and Procedure Violations
Violation of company policy has many faces, including personnel, computer, security, and safety applications. Companies often have different approaches toward policies in general: while some organizations publish policy and procedure (P&P) manuals, employee handbooks, and code of conduct ethics statements, other companies choose to forego documentation, if at all possible, in an attempt to retain total discretion to handle violations and breaches on a case-by-case basis.
Most employees would argue that they prefer to have handbooks and P&P manuals so that they understand a company’s rules and guidelines. It also benefits companies to publish such documents in an effort to consistently accord workers with workplace due process. In essence, if employees clearly know what’s expected of them and violate a documented policy nonetheless, then the employer (theoretically) has a much cleaner termination to defend.
Of course, that’s not always the case. Sometimes documentation in and of itself provides workers with opportunities to circumvent the rules because there are often loopholes embedded in them. As such, many employers choose to reason that certain workplace rules are self-evident, so documenting the rules becomes redundant and unnecessary.
Whether or how much your company chooses to document specific policies, worker violations can expose your organization to all sorts of liabilities, from personal injury to lost revenue to legal exposure. In addition, failing to punish rule breakers may establish a company practice that in turn arguably establishes a precedent. So if you choose, for example, not to terminate Employee A for violation of a company policy and later choose to terminate Employee B for violation of that same policy, a claim of discrimination or retaliation from Employee B’s attorney may be sustained.
In short, you often don’t have the luxury of waiving discipline or termination in cases of serious policy violations. Therefore, it becomes critical that you look at such violations not only on the individual merits of the case at hand but also on each case’s precedent-setting value. Once you’ve established that big picture mind-set, your decisions in terms of properly responding to policy and procedure violations will become all the more clear.
Scenario 29: Failure to Adhere to Safety Rules
Companies often post safety rules on shop floors because federal and state laws require their prominent display. Many workers in heavy industry face life-and-limb risk if they violate safety policies, and intense training programs and certification requirements often become the norm to prevent serious injury or even death. However, even if your company isn’t engaged in that level of hazard or danger, conducting safety training, including fire drill exercises and injury-reporting procedures, makes sense—both in terms of complying with the law, ensuring worker safety, and mitigating legal damages should an injury occur.
Let’s assume that a light industrial worker is responsible for wearing a hair net, safety glasses, and gloves while working on a particular piece of machinery. You happen to walk by one day and notice the employee is wearing none of the above. Your initial reaction is to call the employee out in front of his peers and berate him for not wearing the appropriate equipment. You may likewise reason that a formal written warning is in order. However, this is very atypical for this particular employee, so you choose to call him into your office in private instead to find out what’s going on. (Good thinking!)
The Solution
In your meeting, you learn that George was actually leaving the floor at the end of his shift when he realized he left his safety goggles atop the machine. You happened to see him just at the moment he climbed the ladder to pick them up. George apologizes and confirms that he knows that he’s not supposed to do that: He’s never compromised safety before and always wears his equipment religiously. Nevertheless, you have an obligation to sit him down and remind him of the company policy as well as the critical need to avoid any exceptions.
George, I hear you. I know that’s atypical. I’ve never seen you violate a safety policy before, which is why I was so shocked to see you up on that ladder without your ponytail in a hair net and without your goggles and gloves on. And I realize that my walking by at that particular moment was bad timing from your perspective, but let’s not look at it that way.
Truth be told, we work around so much machinery every day that we take it for granted. It’s kind of like when we fly on an airline and pay no attention to the attendant who reviews the safety rules at the beginning of the flight. Just so you know, I always listen to those attendants’ presentations! And I always take safety rules seriously—there’s just too much at stake if you’re not paying attention or if your mind is elsewhere, even for just a minute. Therefore, let’s look at my walking by just now as good timing for both of us.
First, you realize that if your hair were to catch on moving equipment, it could possibly result in death—no kidding—death. I know we haven’t had any serious incidents or accidents since you’ve joined us, but machinery is machinery, and it doesn’t discriminate if someone’s hair gets caught. It just pulls them right into the gears just the same.
Second, remember that the restraints, pull backs, and those two-hand devices are all for your safety, George, and you’ve got to make sure you’re familiar with how to use them. If there were ever an emergency, you wouldn’t have time to think. You’d be working off pure adrenalin at that point, so knowing how to use standard safety equipment has to become second nature.
Third, those eye goggles are life savers. I’ve seen someone splashed in the face by hot oil. The burns eventually blistered, scabbed over, and became minor scars, thank goodness, but the liquid splashed squarely across her goggles, and she would have lost her eyesight.
In addition, George, I want you take the opportunity to remind your coworkers about these same safety policies. You never want to live through the guilt of seeing someone suffer from a serious injury, especially if it was simply because that person wasn’t paying close enough attention or was taking their work for granted. Occasional reminders from time to time are healthy reminders that this is serious stuff. Will you make that commitment to me for the good of your team? [Yes.]
One final thought: I know you’re not a supervisor yet, but I want you to start thinking that way. Here’s the first lesson: There will be certain times when you won’t have the discretion not to discipline someone for a safety infraction. That could set a dangerous precedent, and if you don’t discipline one person for a safety infraction, it could be difficult to discipline someone else.
Yes, there are mitigating circumstances but generally speaking, when it comes to safety infractions, we’ve all got to have a zero tolerance approach for the sake of the company. It’s all about the record you’re creating, George, and you’ve always got to keep that bigger picture in mind. Can I count on you to do that? [Yes.]
And with that shared simple reminder, you’ll have sensitized George to an important responsibility, for himself, his coworkers, and the company. Simple as this talk may seem, don’t underestimate its importance as an occasional reminder of putting safety first. And what a great opportunity to let George know that you’re thinking of his career as well as his safety.
Although you can safely assume that he’ll walk away from your conversation feeling educated and empowered, any future incidents will most likely require a written response on your part in the form of a written warning—even for something as minor as picking up his goggles off the machinery without his other safety equipment on.
Scenario 30: Excessive Personal Telephone Calls
“Do companies actually have to pay for phone calls? I thought they were free!” Such went the logic of a college intern who called his mother every day of his internship—in Lithuania! Yes, adults young and old often forget that companies have to pay for all phone calls made by employees on their monthly bills—amazingly enough, it works just like home. They also fail to realize that the company phone bill can track every individual call back to the phone line where it was generated—and to the person who sits at that desk. So when the supervisor found out from the department head that college intern generated $1,150 in personal phone calls in one month, well—let’s just say the internship ended.
The Solution
College interns may have an excuse—they’re too young to realize how this all works and they just don’t get it. But what about full-time workers who see the company phone on their desk as a freebie resource to avoid generating long-distance cell phone charges of their own? You might want to proactively instruct your group to avoid any personal phone calls by distributing a short memo or including the following message in your next staff meeting:
Everyone, one of the items on today’s meeting list is personal phone calls. There are two important aspects of personal phone calls that I’ll need you all to keep in mind. First, company phones are only to be used for company business. Barring any emergencies, all personal phone calls should come from your cell phone or from a public phone down in the lobby. Remember that we receive monthly phone bills just like you do at home, and if we see repetitive calls made to personal phone numbers, you could be subject to formal progressive discipline, so please don’t put me in that type of embarrassing spot to have to have that kind of discussion with you. Fair enough? [Yes.]
Good. The second issue has to do with your cell phones. I realize that they’re your personal possessions and don’t belong to the company. However, you’ve got to be careful not to use them excessively during the workday. Limit your personal calls to your breaks and meal periods, and understand that it would be considered highly inappropriate for you to be seen speaking on your cell phone during the regular business day. I realize that you wouldn’t be using company equipment, but you also wouldn’t be doing your job, and that’s a serious issue, as I’m sure you can all understand. Do you all get my logic and reasoning behind these two rules? [Yes.] Okay then, does anyone have any questions? [No.] Good, then let’s continue with the meeting’s agenda.
An ounce of prevention is worth a pound of cure, and making this statement up front eliminates any confusion or misunderstandings right from the start. Now what about someone who has either used the company phone for excessive personal phone calls or who makes excessive personal calls using his cell phone? Well, it depends on how you define the word excessive. If the individual’s phone bill shows scores of personal phone calls during the month, then your response should be in the form of a written warning. Depending on your company policy and practice, you can also require reimbursement.
On the other hand, excessive may be just a few too many calls during the day on the cell phone, and your response will more likely be in the form of a verbal counseling session that may sound like this:
Walt, we need to talk. I called you into my office because, with all due respect, you’ve got a perception problem on your hands. That perception is that you’re on your cell phone during the workday while you should be doing work. It isn’t excessive at this point, but I’m concerned that this could become a slippery slope. If I allow you to make personal phone calls on your cell phone during the day, then others will assume they have that same right, and before you know, we’ll be losing a percentage of our productive time in the office.
Therefore, I’ll need your support in helping me fix the problem. With the exception of emergencies, will you commit to me to limit the use of your cell phone to breaks and lunch periods? [Okay.] Thanks. I’m not punishing you here: I just want to increase your level of sensitivity to how this looks. I don’t expect anyone on staff to, in effect, take breaks during the middle of their shifts by calling family members or friends to chat. That’s really what breaks and meal periods are for. Can you see my concern, and does it sound reasonable to you? [Yes.] Thanks for your support on this. I know it’s an easy fix, but I wanted to make sure you understood my logic in asking you. How’s everything else going on your desk?
That was nice and easy and without any drama. Our perception problem approach makes it easy to deliver a fairly straightforward message without any hesitation or angst. As a supervisor, you should never feel guilty for asking someone to do his or her job. Just use yourself as the baseline: If you wouldn’t make personal calls during your normal shift, then don’t be shy about asking your subordinates to follow your lead.
Scenario 31: Excessive Time Spent on the Internet
The Internet has certainly made our lives easier. You can buy books, airplane tickets, computers, and more with the click of a button. You can gossip on blogs, share videos of family members, look up long-lost high school friends, and watch your favorite TV shows without getting out of your seat. And since company Internet connections often allow unrestricted access, the temptation to engage in non-work-related activities can be too much for some people to resist.
The Solution
Much like with our excessive phone call scenario, you might want to proactively address the matter with your group to avoid excessive personal time on the Internet by distributing a short memo or including the following pep talk in your next staff meeting:
Everyone, one of the items on today’s meeting list is excessive use of the Internet for personal reasons. There are two important aspects of personal Internet usage that I’ll need you all to keep in mind. First, the company Internet connection is to be used for only company business. All personal online activities should be limited and minimal in general, and if you have to go online for personal reasons, please restrict your usage to your breaks and lunch periods. Remember that if you’re nonexempt (hourly), however, I’d like you to be up and away from your desk during your rest and meal periods.
Of course, there could be exceptions to this expectation of leaving your desk for your breaks, but you’ll need to get them approved each time, and I certainly don’t want those exceptions to become a habit. Is that clear and does that sound fair? [Yes.]
It’s always safest to ensure that nonexempt staff members physically leave their desks during their breaks and lunch periods. If that’s not the case, they may feel inclined or obligated to pick up a ringing phone or do other work while they’re officially at lunch, and that could invalidate their lunch period in the eyes of the law. If you choose to grant someone’s request to spend personal time on the Internet during a break or lunch period, just make sure that it’s the exception and not the rule.
Good. There’s one other thing. I don’t want to sound like Big Brother here or anything, but remember, everyone, that we’ve got filters on employees’ systems and can turn them on if we suspect that someone is either spending excessive time on the Web for personal reasons or visiting inappropriate websites. Again, I don’t have time to do that, so I don’t want you to become paranoid, but if I have reason to suspect that there’s abuse, one call to the IT department will typically show me everywhere you’ve visited on the Internet and how long you remained there.
And that’s allowable, everyone, because just like when it comes to your desks and lockers at work, you don’t have what’s known as a reasonable expectation of privacy when it comes to your e-mail or the Internet. Those things are all considered company equipment, and as such, the company has the right to inspect and review them at any time.
Therefore, a good rule of thumb is to close out any site that’s not work-related as soon as you’re done. Don’t leave it open and minimized in the tray at the bottom of your screen. Do you all understand the rules and what’s expected of you? [Yes.] Okay, then let’s continue with the meeting’s agenda.
Once again, an ounce of prevention is worth a pound of cure, and making this statement up front eliminates any confusion or misunderstandings right from the start. Now what about someone who abuses the system by spending too much time on the Internet for personal reasons despite your prior coaching session? That depends: If you advised the staff a week ago, then you’ve got fair grounds to proceed right to a written warning. If it’s been a year or so since your pep talk or if you’ve never given them advanced notice of your expectations, then you might simply assume that the individual wasn’t aware and made inappropriate assumptions about her right to access the Internet for personal reasons during the business day. Under those circumstances, your verbal counseling might sound like this:
Sarah, I need to talk to you about the time you’re spending on the Internet. First of all, I’m only sharing my impressions with you, so there’s no need to be defensive about this or to feel a need to justify yourself. Just understand that, generally speaking, when I walk by your desk, I’m not surprised to see the Internet up and rolling with commercial sites on screen. Now you may feel that you’re getting all your work done and that you spend very little time on the Web, and that may be the case. But from my vantage point, you may have a perception problem on your hands. What I mean is that others may notice the same thing that I do—namely, that you’re spending lots of time viewing personal interest pages during the workday.
Now before I go any further, let me ask you, is it possible that this “perception” issue that I’ve become aware of could be true? [Yes, but I …] Okay, again, I don’t mean to interrupt you, but you don’t have to defend your actions. I’m just giving you some subjective feedback based on what I’ve been noticing lately, and I want to sensitize you to the fact that others may be under the same impression.
As they say, perception is reality until proven otherwise, and I wouldn’t want you to ever have to defend yourself or your overall job performance because someone comes under the impression that you’re doing personal errands on company time.
Oh, there’s one other thing, Sarah. Employees don’t realize that our company—in fact, all companies—can track the whereabouts of their employees’ visits to the Internet. The filtering software can tell us where someone’s been, how long they’ve remained there, and more. I’m not telling you this to make you paranoid, but it’s something that you should be aware of. At this point, is it safe for me to assume that you’ll limit your Internet access during the workday to business-related research only and limit your personal time spent on the Internet? [Yes.] Good, then I think we’re fine here. Thanks for meeting with me to discuss this. How’s everything else going on your desk?
That very nice and professional one-on-one talk will likely be the only verbal intervention you’ll ever need to make record of, as perception problems like this are easily fixed. However, if you ever again suspect that Sarah is spending an excessive amount of time on the Web or possibly visiting inappropriate websites, simply speak with your data security administrator in the IT department to turn on those filters.
Scenario 32: Unauthorized Use of Company Equipment and Facilities
Employees sometimes take for granted the fact that your company has to buy supplies and equipment for its facilities. As such, they think little of taking home notepads, pencils, rulers, and (heaven forbid) computer monitors and printers. While the latter would likely border on theft and result in immediate dismissal, few companies would argue that termination would be appropriate for taking home a staple remover.
Okay, that’s fair enough, but what about an employee who develops a nasty habit of overnighting packages to his son’s college dorm two states away? How about someone who comes to your facility with friends on a Saturday night to play a game of cards or to watch a football game on the corporate big screen TV? Or what about a worker who expresses an outrageous personal opinion to a national radio shock jock—using a corporate e-mail address that has your company name in its domain? You can only imagine when the shock jock says, “And Paul from XYZ Company has the gall to say….” Oh, employees seem to find the darnedest ways of getting themselves into scraps now, don’t they?
The Solution
Yes, these are all moments where you, the supervisor, sit back, shake your head, and ask, “What were they thinking?” But people will be people, and that’s why you chose a career in management anyway, right?
Let’s look at the example of the employee who sends overnight packages to his son in Denver. Boy, those are expensive! And the company won’t know the difference anyway, will they? Well, it’s true that the individual may not be caught, but in case he does, you’ve got options: You could formally discipline the employee with a final written warning letting him know that if he ever again sends personal care packages using the company’s overnight service, he’ll be immediately terminated. You could also research all the packages he’s sent to the Denver campus and hand him a whopping bill for all those expenses that would be immediately payable. Or you might simply have a discussion with him (assuming this is a first or early offense) letting him know why using the company’s package delivery service for personal benefit is a no-no.
Here’s what your conversation might sound like in this last case:
Gary, we’ve got a problem on our hands. The folks in the mailroom let me know that they discovered that you had sent a personal package to your son at XYZ College in Denver. Is that true? [Yes, I’m sorry to say it is.]
You realize that’s wrong, don’t you? [Yes, I do. I’m sorry, Paul. I was in a rush to get a package to my son via overnight delivery, and I should’ve told the mailroom folks what I was doing. I also realize that I should have paid for it, and I’ll go back to the mailroom and pay for it right after our meeting.]
Well, I think that would be appropriate under the circumstances, Gary, but the bigger issue I’m scratching my head over is your judgment under the circumstances. You know how expensive it is to send a letter via overnight express, never mind a package. And I’m sure you realize that those things are checked every night as the mailroom employees do their inventory. What made you think that it would go by unnoticed? [Honestly, I just wasn’t thinking and I’m sorry for that lack of discretion.]
Fair enough—apology accepted. Understand something, though, Gary: Under other circumstances, we could pursue progressive disciplinary action, even for a first-time offense. This type of behavior could be construed as stealing, and as such would subject the employee involved to immediate termination. And even if the company chose not to go that far, we could issue a final written warning for a first-time offense, which is clearly something you wouldn’t want on your record.
Here’s where you have to be careful: Employees sometimes take things at work for granted. Not major things usually, but little things that could add up over time. Soon an entitlement mentality develops where employees feel the company owes things to them in exchange for all their hard work and sacrifice and, well, let’s just say that’s not a healthy view of reality. We pay for pencils here just like you pay for them at home, so taking anything from this house to bring home to your house could be viewed as stealing. Do you see my logic here? [Yes.]
Okay, we don’t need to beat a dead horse, then. I think my message is pretty clear on this one. But this advice I’m giving you isn’t just for our company—it’s for your entire career. Successful careers can be derailed by simply not thinking things through, and little, seemingly harmless acts by employees can have them on the unemployment line before they know it. I wouldn’t ever want to see that happen to you, so consider this a career coaching sensitivity session just to help you keep the proper perspective on things. Okay? [Okay, Paul. Thanks.]
Again, your company may have strict policies and practices in terms of how to handle first-time events like this one, from immediate termination to allowing the matter to slide altogether. What’s important in most cases is that you intervene early and sensitize the employee to how harshly matters like this can be treated under other circumstances or in other companies. You’re certain to make Gary think twice before taking something like that for granted again.
Scenario 33: Working Unauthorized Overtime
Wage and hour claims often show up in the form of class action lawsuits and can literally cost your company millions of dollars. While you appreciate employees who demonstrate flexibility and a willingness to work whatever hours are necessary to get the job done, that selflessness can eventually become a liability for your company if the individual involved is nonexempt (i.e., covered by the overtime provisions of the Fair Labor Standards Act).
Nonexempt workers typically are entitled to two breaks and a meal period during a normal business day. If they habitually choose to forego their breaks and remain at their desks to work during their meal periods, it could come back to haunt you big time as an employer. Here’s how that scenario typically plays itself out: Stellar hourly employee works through breaks and lunches on a regular basis. Employee eventually falls out of love with his supervisor, is terminated for cause, and retains the services of an attorney to sue your company for wrongful termination.
The scenario isn’t over yet, though. The plaintiff attorney typically looks to pursue punitive damages from your company since that’s where the “real money” is made, and she asks the prospective plaintiff (your ex-employee) leading questions about harassment and discrimination. In addition, she asks questions like, “Did you or any other nonexempt workers on staff regularly work through your breaks and meal periods?” The plaintiff-to-be actually defends the company and says, “Well yes, a lot of us did. But in my case, I willingly did that—the company never asked me to.”
And voilà! That’s all it takes for the initial makings of class action wage and hour claims to take root. Remember, the wage and hour board will not consider whether overtime was authorized; the fact that the employee worked the overtime is all that counts to substantiate a claim for back wages.
The Solution
You typically wouldn’t want to discipline someone for working diligently through their breaks and lunches or for working unpaid overtime at night. Human nature will make you want to demonstrate appreciation and goodwill for the employee’s loyalty and extra efforts. However, you really don’t want to become known as a company that expects its nonexempt employees to work through their breaks or engage in unpaid overtime on a regular basis. That could land you in legal hot water with a particularly expensive price tag.
Even more, if you suspect that a disgruntled employee may be particularly litigious, realize that she may be setting the company up by working through rest and meal periods while putting in unpaid overtime hours after work. In such cases, you need to step in and stop this behavior. Depending on the nature and severity of the offense, your response may be in writing (in the form of a written warning) or, more likely for this type of infraction, via a verbal counseling session of sorts, which might sound like this:
Margie, we’ve got to talk. I saw you clock out at 5 P.M. last night, which is your regularly scheduled time off. And I thought you had left to go home because I was leaving at the same time. However, when I got in this morning, Janet Swenson, the evening supervisor, told me she saw you working until 8 P.M. She was very complimentary and commented on how diligent and responsible you must be to put in those kinds of hours. I asked her if she’d seen you doing that before, and she mentioned that she had seen you working late nights a few other times as well.
It’s funny, though—I don’t remember seeing any entries in your time sheets for three or four hours of overtime on any given night. [Oh Paul, I didn’t want you to have to worry about paying me overtime. I know there’s a cap on overtime expenses, and I didn’t want you to have to worry about it. Besides, having quiet time to catch up on my work after hours helps me stay totally on top of my work, and I actually enjoy the peace of mind it gives me to be ahead of the game.]
Well, as much as I appreciate your dedication, Margie, and I understand what you’re saying about having quiet time to get your desk in order, I’m afraid that as a nonexempt or hourly employee, you have to be paid for any overtime that you do in excess of a certain threshold.
In our case, if you work more than forty hours in a week, you have to be paid at time-and-a-half. Period. No questions asked. [But I don’t mind, really …]
No, no, I’m with you, Margie, but let me explain a bit further. It’s not about the employee’s willingness—that’s not the way the wage and hour commission sees it. Whether or not the overtime was approved is not at issue, rather it’s simply a matter of whether the employee worked the overtime or not. And it’s not just about overtime after hours. You also have to make sure you take your breaks and lunch periods on a regular and consistent basis, which is why I ask everyone to get up from their desks and get out for fresh air every day. Not only is it healthier for the employees, but it stops anyone from picking up the phone during their lunch break and taking calls or doing any other work.
In fact, some companies discipline employees who work unauthorized overtime. It could be that serious. Now that’s clearly not the case here, and I want you to know how much I appreciate your work ethic and your willingness to put the company’s needs ahead of your own. But seeing that we wouldn’t want to do anything that could appear to be in violation of overtime rules, I’m hoping you’ll accept this constructive criticism in the positive spirit in which it was meant. [Yes, okay, if that’s the way you’d like me to handle it from now on.]
Great—thank you. Oh, there’s one more thing: We’ll pay you for the three hours that you worked last night. And I want you to look up the additional hours that you’ve worked in the past so we could pay you for those as well. Just commit to me that we won’t have any more surprises when it comes to overtime work from this point forward, and I’ll be a happy camper. [Okay, Paul, you got it.]
You made your point, explained the business rationale for your request, and treated the employee with dignity and respect, so job well done. One more note, though: Pay special attention to the language “we wouldn’t want to do anything that could appear to be in violation of overtime rules.” That’s a much more benign and safer thing to say than “We wouldn’t want to violate the law” or “We wouldn’t want to be sued for breaking the law.” Be careful not to use language that could unwittingly instill in the employee’s mind that the company could have violated any law or otherwise be sued for its actions.
Scenario 34: Off-Duty Conduct and Moonlighting
Moonlighting is always a questionable topic in the workplace. On the one hand, every company wants its employees focused solely on its business needs. And of course, there’s always that risk of breached confidentiality. On the other hand, many employers understand that workers need to make ends meet and consequently don’t want to stand in the way of their employees’ desire to work two jobs. In fact, many managers would agree that such a solid work ethic is very admirable.
Only you can tell if moonlighting presents a significant conflict of interest to your company. For example, if you’re one of the few chemists at Coca-Cola who has the secret formula for what makes a Coke a Coke, there’s no question that split loyalties to different companies would be out of the question. On the other hand, if you supervise individuals who are engaged mostly in manual labor, there’s arguably little reason to believe that their participation in other jobs at other companies could somehow compromise your business interests.
Therefore, we’ll leave the propriety issue of moonlighting up to you. In our example, however, we’ll assume that moonlighting is allowable at your company as long as it doesn’t hinder the individual’s work performance on a day-to-day basis. That’s a reasonable standard of expectation for most employers, so let’s have a look at someone who’s working late-night shifts after putting in a full nine-to-five day at your firm, only to appear the next day feeling worn out, grouchy, and prone to making lots of errors.
The Solution
Again, realizing that there is a balance to strike between privacy (i.e., what someone does in his private time away from work) and company performance standards, you might want to open your conversation this way:
Pierre, we need to talk. I wanted to call this private meeting with you to ask you to gauge how you’re feeling in general and how satisfied you are with your own performance these days. [I’m fine. Why do you ask?]
Do you notice any difference between your performance over the past month and your historical work with us over the past two years? [No, not really.]
Well, there’s a significant difference, and it’s not only been noticed by me but by a few others who were kind enough to give me a gentle heads-up. You’re well liked here at the company, Pierre, but you’ve got a perception problem on your hands: You look exhausted, and you’re giving off the impression that you’re unfocused and “out of steam.”
I’ve also heard that you may be moonlighting at night. Specifically, I heard that you’ve been working a 6 P.M. to 3 A.M. shift on Mondays, Wednesdays, and Fridays at another company during the week. How close am I in terms of having accurate information? [Well, that’s correct, but that’s something I do in my private time and really shouldn’t have anything to do with …]
Let me stop you, Pierre. I’m not looking to get in the way of your ability to earn extra money at night, so there’s no need to defend yourself. I know that it’s difficult to make ends meet, and I respect that. However, as much as our company doesn’t look to interfere with the off-duty and personal interests of its employees after work, your current activities are interfering with your work here with us.
Let me give you an example: We haven’t had much overtime to give out lately, but what if we needed you tonight? Would you be available to continue on beyond 5 P.M.? [Yes, I told the other company that may happen from time to time.]
Fair enough. But here’s how your performance looks from my vantage point: You’re yawning, drinking lots of coffee, and it’s evident that you’re not getting enough sleep. In terms of “harder” facts, you’ve not completed two of your last sixteen jobs. We got a complaint today that you didn’t check in with the Jones tenants when you were done, and it appears that you left the work area untidy with unfinished business. That’s not like you, Pierre, and I’m afraid these split obligations may place your role with us in jeopardy. [Okay, I understand, but I still need the second job.]
That’s your call, and I’ll respect whatever decision you make, just as I’ll ask you to respect ours, whatever the outcome. Our simple rule is this: We expect your performance to remain at the historical level we’ve seen, and we expect you to be available for last-minute overtime when necessary. Whether you’re working two jobs or not isn’t my issue, and I won’t worry about that from this point forward. But I am expecting you to assume responsibility for the perception problem you’ve developed over the last month and ensure that your work here isn’t compromised for any reason.
Also, I’ve got to remind you of a few things: First, again, although I won’t mandate that you give up your nighttime position (or even reduce hours), I expect you to report to work in the proper physical and mental condition at all times. Second, you’re not permitted to conduct any work for the outside organization on company time or using company equipment, including phone calls or e-mails. Third, none of the work that you perform with the outside organization can pose any type of conflict of interest with our company, either in terms of shared confidential information or taking business opportunities away from our firm. Do I have your commitment to abide by those rules? [Yes.]
Okay then, Pierre, I’ll hold you to your word. Remember these three expectations, though, because we can’t have any violations of these agreements. Fair enough? [Yes.]
Good for you. You investigated and confirmed that the moonlighting was occurring. And you informed the employee of your company’s expectations in terms of focus and performance in the role, availability for overtime, and most important, conflicts of interest that could arise from serving “two masters.” Make sure you jot down what you’ve discussed, and be prepared to move to formal progressive discipline in the form of a written warning should Pierre’s work performance deteriorate any further. You’ve done about as much as you could in light of the fact that your company generally allows for moonlighting to occur. At this point, it’s up to Pierre to manage his time and priorities appropriately, now that he has a clear understanding of the company’s rules and expectations.