The ground rules are categorized into the following areas:
• The Need for a Process
• The Manager’s Rule of Thumb: A.C.T.
• Equal Treatment
• Communication of Disciplinary Rules
• Open-Flame Analogy
• Rule of Relevance
• Right of Appeal
Some areas provide you with a set of behavioral rules to follow, while others inform you of rules that should be adopted as part of your organization’s employment policy and philosophy.
The Need for a Process
As I have mentioned earlier in this guidebook, you must have a process in place if you are to act consistently on discipline-related performance problems. This is one of the most fundamental ground rules of administering discipline. Another basic rule: Make sure anyone who is in the position to use discipline understands the process.
GROUND RULES: PROCESS
__________________________
 |
Always use a standard process for administering discipline; if your organization does not have one, then develop one. |
— A four-step process is recommended, including (1) verbal discussion, (2) written discussion, (3) final notification, and (4) discharge.
— The only exceptions to process are serious infractions such as fighting and drug use, which require formal investigation.
|
Make sure those who administer discipline know the process. |
— That includes understanding the difference between a gap in execution and a gap in comprehension, and using training, not discipline, for the latter.
— It also includes understanding the manager’s role as a coach or business partner, and fulfilling that role for employees.
The Manager’s Rule of Thumb: A.C.T.
Coaching means being aware of your employees’ actions and providing timely feedback on performance problems. Example: if someone is tardy for three days in a row, do not raise the issue three weeks later; the employee will not understand the importance of the feedback and will legitimately question your delay. Instead, be quick to ask the employee why he or she is having the problem. This direct questioning may be all you need. Only move to discipline if the issue develops into a “John Wasastar.”
A.C.T.
Always
Coach in a
Timely manner
Keep in mind that your role as a coach is integral to the disciplinary process—that throughout much of the process, you will be drawing more than ever on your coaching skills. So remember the A.C.T. rule, and act on it.
Equal Treatment
Employees want to know that no one receives special allowances, that they are all being treated in a similar fashion. For instance, if two employees have tardiness problems, they shoud understand there is a work rule —“Be on time”—and that it applies to both of them equally, as well as all other employees; they should also understand that several violations of the rule will be dealt with through the disciplinary process.
Now one manager may define several as four instances; another may define it as five. A slight discrepancy like this is permissible—as I mentioned earlier, discipline can be variable. But the seriousness of the offense should carry equal weight from manager to manager.
Conduct Considerations: Fairness Equals Consistency Some organizations, and discipline systems, try to draw a distinction between fairness and consistency. The belief is factors, such as length of service, merit undue consideration when handing out discipline. Do not be led into this trap. The reason is fairness, as a concept, is open to interpretation and as a result is subjective. What may be considered fair by management may be considered unfair by a jury. To protect yourself always equate the two by giving equal weight to both concepts. You can further protect yourself by eliminating fairness from your vocabulary. As an employer your goal is to always be consistent. The bottom line is that I would rather debate consistency of application than fairness
So here are our ground rules for equal treatment and consistency.
GROUND RULES: EQUAL TREATMENT AND CONSISTENCY
|
Judge all by the same set of standards. |
|
Give thorough training in the standards to those who counsel or administer discipline. |
|
Apply those standards consistently and uniformly across all functions. |
|
Apply standards without discrimination or prejudgment. Keep discipline impersonal. |
|
Remember, consistency equals fairness. |
Communication of Disciplinary Rules
It is very important for each and every employee to know your discipline process. The best way is to teach it. Train everyone in your four-step process, not just those who administer it, and explain how an employee will logically move through it should his or her performance not improve over time. Pass out an attendance sheet for everyone to sign. This is part of the “forewarning” portion of discipline.
GROUND RULES: COMMUNICATING DISCIPLINARY RULES
|
Every employee and manager should know the rules. Publish them in your employee handbook and company policy and procedures manual. |
|
Train every employee and manager in the four-step process. |
Open-Flame Analogy
Administering discipline is a difficult task; but if you have done your job correctly, there is little reason to avoid the action. In fact, you should treat it as an opportunity to help “turn around” an employee and save him or her from further action and possible termination.
The open-flame analogy emphasizes that the employee is the one who violated the rule or chose not to do the job right (touched the flame), and who now shoulders the responsibility for change. To the manager, discipline is an impersonal act—nothing more than a logical consequence of the employee’s action.
Refer to the analogy whenever you are feeling uncomfortable with the task of discipline. It will also help you keep to the ground rules for consistency and communication, all of which give the analogy its power.
OPEN-FLAME ANALOGY
_______________________
Rule of Relevance
This is simply a statute of limitations. If an employee maintains a clear record for a pre-set period of time (e.g., one year), discipline begins again, but at the first step (verbal discussion). More serious acts, such as fighting, may call for reinstatement at later steps (e.g., final discussion). See your company’s rules for applicability.
Maintain a copy of the disciplinary documentation in the personnel file (I used to recommend tossing it out, but times have changed). It can be used to show a prolonged pattern of problem behavior or non-performance should the employee be terminated at some point in the future. Seal the copy in an envelope, to reinforce for the employee your commitment to ignore it if performance improves.
Rule of Relevance
If an employee maintains a clear record consistent with a predetermined time frame, any disciplinary notice for the infraction may be disregarded. It is treated as if it did not exist and the disciplinary process begins with a verbal discussion for any new minor infraction.
You should ensure the clearly defined time frame is included in the employee’s handbook and the company’s policy and procedures manual. It is important to demonstrate to employees that nothing is “carved in stone” if there is positive response to constructive feedback.
Right of Appeal
Employees should be provided with a formal procedure for questioning disciplinary action, especially in a termination situation. Most successful companies state in their policy manuals and employee handbooks, “Any terminated employee will have the right of appeal to the President of the company on request. The President will review the matter and render a binding decision.” I highly recommend this review. It is an example of due process in action, and a must in any disciplinary system.
Right of Appeal
If the company does not have a specific policy or provision to protect the rights of an employee, there should be a procedure the employee can follow to challenge company action.