THE GROUND RULES AS LEGAL SAFEGUARDS

The ground rules we have discussed, along with the instructions in Chapters 1 and 2, give you a far better chance of avoiding accusations of illegal actions, and of successfully arguing your case should a lawsuit develop, than do loosely structured approaches to discipline. They are precautionary measures on the legal front as well as sensible methods for behavior modification. They cannot guarantee complete freedom from legal action, no more than they can guarantee 100 percent success with behavior modification. But they can maximize that freedom, and that success, within realistic boundaries.

Checkpoint: Carroll Daugherty’s Rules

Carroll Daugherty was a practicing labor arbitrator who emphasized the need for due process in his decisions. Other arbitrators referred to due process obligations, but he was one of the first to bring some definition to what a company had to do to satisfy it. The checklist on the next page incorporates Daugherty’s “rules” as put forth in the case Enterprise Wire Company, 46LA (Daugherty, 1966).

The following words and phrases get at the heart of Daugherty’s rules and deserve special attention:

•   Forewarning

—  Remember: use a step process.

•   Managerial rule

—  Remember: there must be an avenue of appeal.

•   Even application of rules

—  Remember: check into precedent.

•   Discipline administered according to the offense.

—  Remember: discipline should fit the issue.

Refer to this checklist whenever you enter the disciplinary procedure. If you can answer “Yes” to all of these questions, you are in good shape to proceed with your action. Any “no” answer signals the need to proceed with caution and, at a minimum, to revisit the action. However, a negative answer does not necessarily dictate non-action on the part of your company. Remember: all cases are different and your own good judgment will let you know if you are acting in what can be termed an arbitrary and capricious manner.

Turn to Daugherty’s checklist whenever you need to assess your judgment and how well discipline was administered.