CH-15 Positive Discipline – Supervision: Concepts and Practices of Management : Book Guide

Chapter 15 Positive Discipline Learning Objectives 1. Discuss the basis and importance of positive discipline in an organization. Employee discipline can be thought of as the degree to which employees act according to expected standards of behavior. If employee morale is high, discipline will likely be positive and the supervisor will probably not have to take disciplinary action. Supervisors should recognize that most employees want to do the right thing. Positive self-discipline means that employees essentially regulate their own behaviors out of self-interest and their normal desires to meet reasonable standards. Supervisors should be role models and project positive examples for their employees to emulate. Unfortunately, employee theft and fraud have been increasing dramatically, and some CEOs and managers have not set a good example for their employees to follow. 2. Identify disciplinary situations that violate standards of conduct and discuss the need to confront those situations appropriately. Most organizations have written rules and regulations with definitions of infractions and possible penalties for infractions. Rules typically address areas of attendance, work scheduling, job performance, safety, and improper behavior. When infractions occur, supervisors must take appropriate disciplinary actions. When ignored, problems rarely go away. 3. Identify approaches that ensure proper action for just cause. The disciplinary process is intended not to punish or seek revenge but to improve employees’ behavior. Before disciplining, supervisors must investigate the situation thoroughly. Disciplinary actions should be for just (proper) cause. Emotional and physical responses should be avoided. The supervisor should determine whether there is sufficient evidence to conclude that the employee knew about the rule or standard and, in fact, violated it. The supervisor should consider the severity of the violation, the employee’s service record, and other relevant factors. A supervisor should communicate the disciplinary action to the offending employee in private. 4. Describe and discuss the application of progressive discipline. A number of progressively severe disciplinary actions, ranging from an informal talk to a warning, suspension, and discharge, are open to a supervisor as choices, depending on the circumstances and nature of the infraction. The supervisor’s purpose in taking disciplinary action should be to improve the employee’s behavior and to maintain proper discipline throughout the department. Progressive discipline is also desirable and applicable. 5. Explain the “hot stove rule” approach to discipline. Taking disciplinary action can be unpleasant for both the employee and the supervisor. To reduce the distasteful aspects, disciplinary action should fulfil as much as possible the requirements of the hot stove rule. These requirements are advance warning, immediacy, consistence, and impersonality. 6. Discuss the need to document disciplinary actions and to provide the right of appeal. Documentation of a supervisor’s disciplinary action is important to substantiate the reasons for the action. This is especially important if there is appeal of the disciplinary decision to higher-level management through a grievance or complaint procedure. In the interest of fairness, an appeal procedure gives the employee a review process through which the supervisor’s disciplinary decision may be sustained, modified, or set aside. 7. Differentiate between the “discipline without punishment” approach and other alternatives to progressive discipline. The discipline without punishment approach uses extensive coaching and counseling as preliminary steps. If there is no improvement in the employee’s performance, a paid decision-making leave may be imposed on the employee to force the employee to decide whether to commit to improving or to be terminated. On the other hand, progressively severe disciplinary actions range from informal talk to a warning, suspension, and discharge, are open to a supervisor as choices, depending on the circumstances and nature of the infraction. The supervisor’s purpose in taking disciplinary action should be to improve the employee’s behavior and to maintain proper discipline throughout the department. Progressive discipline is also desirable and applicable. 8. Recognize the importance of “fairness” in the disciplinary process. A challenge for supervisors is to treat people fairly in the workplace. Finding answers to the question, “What is fair?” is not an easy task. Supervisors need to use good communication skills to understand what employees perceive as fair. Supervisors need to understand how employees might react when they are treated unfairly. Disciplining employees is not one of the supervisor’s favorite tasks. Applying the concepts of progressive discipline requires consistent application of practical and sound supervisory skills. PowerPoint Presentation Slides 15-2, Learning Objectives Lecture Outline I. The Basis and Importance of Positive Discipline Discipline is a state of orderliness—the degree to which employees act according to expected standards of behavior. Positive discipline exists when employees generally follow the rules and meet the standards of the organization. Discipline is negative, or bad, when employees follow organizational rules reluctantly or when they disobey regulations and violate prescribed standards of acceptable behavior. Morale is a composite of people’s feelings and attitudes toward their work, whereas discipline is primarily a state of mind. Normally, fewer disciplinary problems arise when morale is high; conversely, low morale is usually accompanied by a higher number of disciplinary problems. However, a high degree of positive discipline could be present despite low morale; this could result from insecurity, fear, or sheer force. Positive self-discipline is that in which employees essentially regulate themselves out of self-interest. This type of discipline is based on the normal human tendency to do what needs to be done, to do one’s share, and to follow reasonable standards. PowerPoint Presentation Slides 15-3, The Basis and Importance of Positive Discipline A. Positive Employee Discipline Requires Supervisory Example There are always some employees who, for one reason or another, fail to observe established rules and standards, even after they have been informed of them. Today, an employer can legally use electronic devices to monitor employees. Most employers monitor their employees’ e-mails. Employers must notify employees that surveillance devices may be used, how they are being used, and the purpose they are intended to serve. Supervisors should maintain a balanced perspective since employees at the department level take their cues for self-discipline from their supervisors and managers. Ideally, positive self-discipline should exist throughout the management team, beginning at the top and extending through all supervisors. A supervisor’s actions and behavior are easy targets for employees to either emulate or reject. Furthermore, if the supervisor can encourage the vast majority of employees in the department to show a strong sense of self-discipline, those employees usually will exert group pressure on the dissenters. As a result, the supervisor has little need for corrective action when most employees practice positive self-discipline. PowerPoint Presentation Slide 15-4, Figure 15.1 II. Identifying and Confronting Disciplinary Situations Because individuals do not always agree on what constitutes acceptable standards of conduct, top-level managers must define the standards for supervisors and employees. In many companies, standards are defined in statements of ethical codes and rules of conduct. A. Ethical Codes and Policies Many firms now have developed statements of ethical standards or ethical codes. Such codes usually outline in broad, value-oriented terms the norms and ideals that are supposed to guide everyone in the organization. A code of ethics alone does not ensure ethical conduct. Some codes are documents that primarily outline legal requirements and restrictions, and they provide only limited guidance for solving moral and ethical dilemmas at work. Some major firms have established hotlines or ethics-reporting systems by which employees are encouraged to report questionable situations or individuals who they believe are acting unethically, improperly, or illegally. The person who reported the alleged wrongdoing, usually called a whistleblower, should be afforded anonymity. There is supposed to be no retaliation, regardless of whether the report is substantiated by facts and evidence. An ethical commitment requires everyone in the organization, especially those in management and supervision, to show daily, by word and deed, that behaving ethically at work is not optional. What Have You Learned? Question 2 Personal Skill Builder 15-3: Technology Tool—Whistleblower Software PowerPoint Presentation Slide 15-5, Identifying and Confronting Disciplinary Situations PowerPoint Presentation Slide 15-6, Identifying and Confronting Disciplinary Situations (cont’d) PowerPoint Presentation Slide 15-7, Figure 15.3 B. Rules of Conduct Most organizations give their employees written lists of rules or codes of conduct. Supervisors must ensure that employees read and understand general and departmental rules, which may include safety and technical regulations, depending on a department’s activity. Written rules and regulations provide a common basis and standards that should help the supervisor encourage employee self-discipline. Some organizations provide very detailed lists of rules and infractions; these lists may include classifications of the likely penalties for violations. Other organizations, probably most, prefer to list their major rules and regulations but not the consequences of rule violations. The degree to which employees follow corporate rules in a positive, self-disciplined way is usually more attributable to the supervisor’s role and example than to any other factor. PowerPoint Presentation Slide 15-8, Identifying and Confronting Disciplinary Situations (cont’d) PowerPoint Presentation Slide 15-9, Figure 15.4 Confronting Disciplinary Situations Despite their best efforts to prevent infractions, supervisors will at times confront situations requiring some type of disciplinary action. The following require immediate action by the supervisor: •Infractions of rules regarding time schedules, rest periods, procedures, safety, and so forth. •Excessive absenteeism or tardiness. •Defective or inadequate work performance. •Poor attitudes that influence the work of others or damage the firm’s public image. A supervisor may at times experience open insubordination, such as when an employee refuses to carry out a legitimate work assignment. A supervisor may even confront disciplinary problems stemming from employee behavior off the job. Situations that require disciplinary action are unpleasant, but the supervisor must have the courage to deal with those situations. If the supervisor does not take action when required, borderline employees might be encouraged to try similar violations. A supervisor should not hesitate to draw on some of the authority inherent in the supervisory position, even though it might be easier to overlook the matter or to pass the matter to higher-level managers or the human resources department. Supervisors who ask the human resources department to assume all departmental disciplinary problems shirk their responsibility and undermine their own authority. What Have You Learned? Question 3 PowerPoint Presentation Slide 15-10, Identifying and Confronting Disciplinary Situations (cont’d) Team Skill Builder 15-1: You Make the Call! NOTE: Instructors can use the You Make the Call! and Team Skill Builder 15-1 here because it sets the stage for discussion. III. The Disciplinary Process and Just Cause Supervisors must initiate any disciplinary action with sensitivity and sound judgment. The purpose of disciplinary action should not be to punish or to seek revenge but to improve employees’ behavior. The primary purpose of disciplinary action is to prevent similar infractions. A. Disciplinary Action Should Have Just Cause Most employers accept the general premise that disciplinary action taken against an employee should be based on “just cause.” Generally, to be viewed as “just,” the disciplinary action must consider all the facts in the individual case and be consistent with past practice. The preponderance of labor-union contracts specify a just-cause or proper cause standard for discipline and discharge. Similarly, many cases decided by government agencies and by the courts have required employers to prove that disciplinary actions taken against legally protected employees were not discriminatory but were for just cause. It would seem almost certain that a just-cause standard would prevail throughout most organizations. The supervisor who follows guidelines conscientiously should be able to meet a just-cause standard, regardless of whether the case involves a unionized firm, a nonunionized organization, or a potential area of legal discrimination. What Have You Learned? Question 4 Personal Skill Builder 15-2 Disciplinary Action for Just Cause PowerPoint Presentation Slide 15-11, The Disciplinary Process and Just Cause PowerPoint Presentation Slide 15-12, Figure 15.5 B. Pause before Taking Action A supervisor should guard against undue haste or unwarranted action based on emotional response. A supervisor should answer and follow precautionary questions and measures before deciding on any disciplinary action in response to an employee’s alleged offense. C. Investigate the Situation Before doing anything else, the supervisor should investigate what happened and why. For certain serious violations, such as stealing, illegal substance use, and violence, an organization may call in law-enforcement authorities to investigate and take appropriate action. Some firms employ consultants to administer polygraph tests in an effort to determine who committed the violations, particularly in matters involving theft. Polygraph use, however, has been restricted by a federal law. This statute permits an employer with “reasonable suspicion” of employee wrongdoing to use a polygraph. There may even be situations in which investigation of possible wrongdoing requires some form of personnel surveillance. An outside private investigator may be hired to conduct electronic surveillance or perhaps become part of the workplace as an undercover “employee.” Federal regulations require employers to notify workers if the company intends to have an outside party investigate or probe the alleged workplace wrongdoings. Such disclosure is required if an inquiry could lead to an adverse decision against an employee, such as discipline, termination, or job movement. PowerPoint Presentation Slide 15-13, The Disciplinary Process and Just Cause (cont’d) D. Investigatory Interviews As part of the supervisor’s investigation of an alleged infraction, it may be necessary to question the employee involved as well as other employees who may have relevant information. Such interviews should be conducted privately and individually, perhaps with a guarantee of confidentiality. These situations are usually less threatening to employees who may otherwise be reluctant to tell what they know. If a union employee is to be interviewed concerning a disciplinary matter, that employee may ask that a union representative or coworker be present during the interview. Under federal labor law (the Weingarten rights), a union employee to have a union representative present during an investigatory interview if the employee reasonably believes the investigation may lead to disciplinary action. Recent court decisions have generally extended to nonunionized employees the right to have coworkers present in investigatory interviews that may lead to discipline. The supervisor should ask both directive and nondirective questions that are designed to elicit specific answers about what happened and why. The supervisor should avoid making final judgments until all interviews have been conducted and other relevant information assembled. PowerPoint Presentation Slide 15-14, The Disciplinary Process and Just Cause (cont’d) E. Maintaining Self-Control Regardless of the severity of an employee’s violation, supervisors should maintain self-control at all times. If supervisors feel they are in danger of losing control of their tempers or emotions, they should delay the investigatory interviews and take no action until they regain control. Generally, a supervisor should never lay a hand on an employee in any way. Except for emergencies, when an employee has been injured or becomes ill, or when employees who are fighting must be separated, any physical gesture could easily be misunderstood. F. Privacy in Disciplining When supervisors decide on disciplinary actions, they should communicate those actions to the offending employees in private. A public reprimand not only can humiliate the employee in the eyes of coworkers but also can erode department morale or inspire a grievance. If, in the opinion of other employees, a public disciplinary action is too severe for the violation, the disciplined employee might emerge as a martyr. It is often advisable to have another management person present to witness any discussion that might require corrective action. It is also essential that the witness confirm the discussion and actions that took place. In a litigious society, it is most important to document all of one’s discussions and actions, which some people refer to as “covering your rear” (CYR). Only under extreme circumstances should disciplinary action be taken in public. In these cases, the supervisor must reach a disciplinary decision quickly. Supervisors may have to act in the presence of other employees to regain control of situations and to maintain their respect. G. Disciplinary Time Element Generally, minor or intermediate offenses should be disregarded after a year or so has elapsed since those offenses were committed. Therefore, an employee with a record of defective work might be given a “clean bill of health” by subsequently compiling a good record for six months or one year. PowerPoint Presentation Slide 15-15, The Disciplinary Process and Just Cause (cont’d) IV. Practicing Progressive Discipline Although the type of disciplinary action varies according to the situation, many organizations practice progressive discipline, which increases the severity of the penalty with each offense. The following stages compose a system of progressive disciplinary action: •Information discussion with the employee •Oral warning including counseling •Written warning •Disciplinary layoff •Transfer or demotion •Discharge. (Very serious infractions may warrant termination in the first and only step.) Figure 15.6 details a company’s progressive discipline policy, and Figure 15.7 illustrates its use. Many disciplinary situations can be handled solely or primarily by the supervisor without escalating those situations to difficult confrontations. In the early stages, the supervisor communicates with the employee about the problem and how to correct it. What Have You Learned? Question 1 PowerPoint Presentation Slide 15-16, Practicing Progressive Discipline PowerPoint Presentation Slide 15-17, Figure 15.6 A. Informal Discussion If the offense is relatively minor and the employee has no disciplinary record, a friendly and informal talk will clear up the problem in many cases. During this talk, the supervisor should try to determine the underlying reasons for the employee’s unacceptable conduct. At the same time, the supervisor should reaffirm the employee’s sense of responsibility and acknowledge previous good behavior. Regardless of the offense, the supervisor should record the “date, place, time, and nature” of the incident. B. Oral Counseling Warning If a friendly talk does not take care of the situation, the next step is to provide the employee with counselling (sometimes known as oral warning). Here, the supervisor emphasizes in a straightforward manner the undesirability of the employee’s repeated violation. Alternatively, the supervisor may simply write a brief note in a supervisory logbook to document that an oral warning was given on a particular date. At times, a supervisor may believe that the substance of verbal counselling should be put in writing so that the message is documented and is impressed on the employee. In such a situation, the supervisor may resort to what is called a letter of clarification. Such a letter could clearly state that it is not a formal disciplinary document and that its primary purpose is to reiterate to the employee what was communicated verbally by the supervisor. The employee must understand that improvement is expected and that the supervisor believes the employee can improve and is ready to help the employee do so. PowerPoint Presentation Slide 15-18, Practicing Progressive Discipline (Cont’d) PowerPoint Presentation Slide 15-19, Figure 15.8 C. Written Reprimand A written reprimand contains a statement of the violation and the potential consequences of future violations. It is a formal document that becomes a permanent part of the employee’s record. The employee should be placed on notice that future infractions or unacceptable conduct will lead to more serious discipline, such as a suspension or discharge. Written warnings are particularly necessary in unionized organizations because they can serve as evidence in grievance procedures. Such documentation also is important if the employee is a member of a legally protected group. Even at this stage in the disciplinary process, the supervisor should continue to express to the employee a belief in the employee’s ability to improve and the supervisor’s willingness to help in whatever way possible. PowerPoint Presentation Slide 15-20, Practicing Progressive Discipline (cont’d) PowerPoint Presentation Slide 15-21, Figure 15.9 D. Suspension (Disciplinary Layoff) In progressive discipline, more serious disciplinary actions may be administered for repeated violations, with discharge being the final step. If an employee has offended repeatedly and previous warnings were of no avail, a disciplinary layoff may constitute the next disciplinary step. Disciplinary layoffs involve a loss of pay and usually extend from one day to several days or weeks. Most supervisors can only initiate or recommend a disciplinary layoff. The layoff must then be approved by higher-level managers after consulting with the human resources department. The layoff may restore in them the need to comply with the organization’s rules and regulations. E. Transfer Transferring employees to a job in another department typically involves no loss of pay. This disciplinary action is usually taken when an offending employee seems to be experiencing difficulty working for a particular supervisor, working in a current job, or associating with certain employees. The supervisor who accepts a transferred employee should be informed of the circumstances surrounding the transfer. This information helps the supervisor facilitate a successful transition for the transferred employee. F. Demotion Another disciplinary measure, the value of which is questionable, is demotion (downgrading) to a lower-paying job. This course of action is likely to bring about dissatisfaction and discouragement because losing pay and status over an extended period is a form of ongoing punishment., The dissatisfaction of the demoted employee can also spread to other employees. PowerPoint Presentation Slide 15-22, Practicing Progressive Discipline (cont’d) G. Termination (Discharge) Discharge, or termination, is the most drastic form of disciplinary action. The discharged employee loses all seniority and may have difficulty obtaining employment elsewhere. Discharge should be reserved only for the most serious offenses and as a last resort. A discharge means having to train another employee to do the job and disrupting the makeup of the work group, which may affect the morale of other employees. Because of the serious implications and consequences of discharge, most organizations have removed the discharge decision from supervisors and have reserved it for higher-level managers. Due to legal and other concerns, the final termination interview with the discharged employee may be conducted by a member of the human resources department. When supervisors conduct the termination interview, however, they should be careful to focus on the reasons for the termination and to respond to the questions of the employee being terminated. Generally, all of the preceding considerations should be observed, even by employers who traditionally have had the freedom to dismiss employees at will, at any time, and for any reasons, except for unlawful discrimination, union activity, or where contracts, policy manuals, or some form of employment agreements impose restrictions. This has been called employment-at-will, and it still is generally considered applicable from a legal point of view. Team Skill Builder 15-2: Would You Blow the Whistle? PowerPoint Presentation Slide 15-23, Practicing Progressive Discipline (cont’d) PowerPoint Presentation Slide 15-24, Practicing Progressive Discipline (cont’d) PowerPoint Presentation Slide 15-25, Figure 15.10 V. Applying the Hot Stove Rule Taking disciplinary action may place the supervisor in a strained or difficult position. To help the supervisor apply the disciplinary measure so that it will be least resented and most likely to withstand challenges from various sources, some authorities have advocated the use of the hot stove rule. This rule equates touching a hot stove with experiencing discipline. Both contain the following four elements: •Advance warning •Immediacy •Consistency •Impersonality PowerPoint Presentation Slide 15-26, Applying the Hot Stove Rule A. Advance Warning. For employees to accept disciplinary action as fair, they must know in advance their expectations as well as rules and regulations. Employees must be informed clearly that certain acts will lead to disciplinary action, and supervisors should clarify any questions that arise concerning rules and their enforcement. Most firms document their rules in employee handbooks that are given out to all new employees, either in print or electronic formats. As part of orientation, the supervisor should explain to each new employee the departmental rules and the rules that are part of the employee handbook. All organizations should require employees to sign documents stating that they have received, read, and understood the company handbook and are willing to comply with the rules and regulations contained therein. PowerPoint Presentation Slide 15-27, Applying the Hot Stove Rule (cont’d) B. Immediacy After noticing an offence, supervisors should take disciplinary action promptly as possible. At the same time, the supervisor should avoid haste, which might lead to unwarranted reactions. The sooner the discipline is imposed, the more closely it is connected with the offensive act. There will be instances when it appears that an employee is guilty of a violation, but the supervisor may doubt to what degree a penalty should be imposed. In these cases, the supervisor may place the employee on temporary suspension, which means being suspended pending a final decision. It protects both management and the employee. It gives the supervisor time to investigate and to regain control. C. Consistency Appropriate disciplinary action should be taken every time an infraction occurs. Inconsistent discipline leads to employee anxiety and creates doubts on what an employee can and cannot do. Because of the numerous difficulties associated with inconsistently enforced absenteeism and tardiness policies, many firms have adopted no-fault attendance policies, especially for blue-collar employees. A no-fault attendance policy counts any unscheduled absence or tardiness as an “occurrence,” and the accumulation of occurrences or assessed points during designated time frames is used to invoke progressive discipline ranging from warnings to suspension and finally termination. A firm’s no-fault attendance policy may provide for rewarding good attendance and may designate certain absence exceptions. Applying disciplinary action consistently does not necessarily mean treating everyone in the same manner in all situations. Special considerations surrounding an offense may need to be considered, such as the circumstances, the employee’s productivity, job attitudes, and length of service. See Figure 15.11 Excerpt from a Manufacturing Plant’s No-Fault Attendance Policy PowerPoint Presentation Slide 15-28, Applying the Hot Stove Rule (cont’d) D. Impersonality Penalties should be connected with the offense, not with the offending employee. When a supervisor is imposing discipline, impersonality can help reduce the amount of resentment that an employee is likely to feel. At the same time, supervisors should understand that employee reactions to discipline will vary. The optimal reaction to discipline is acceptance of responsibility for the wrongdoing and a change in behavior by the employee to the desired standards. A supervisor may have to deal with an employee’s reactions if they are detrimental. However, assuming the employee’s reactions are not severe, the supervisor should treat the employee the same before and after the infraction and disciplinary action. What Have You Learned? Question 5 PowerPoint Presentation Slide 15-29, Applying the Hot Stove Rule (cont’d) VI. Documentation and the Right to Appeal Whenever a disciplinary action is taken, the supervisor must record the offense and the decision, including the reasoning involved in the decision. This is called documentation, and it may include keeping files of the memoranda, minutes of meetings, and other documents that were part of the case handling. Documentation is necessary because the supervisor may be asked to justify the action, and the burden of proof is usually on the supervisor. The right to appeal means it should be possible for an employee to request a review of a supervisor’s disciplinary action from higher-level management. Supervisors should encourage their employees to appeal to higher-level management if the employees feel they have been treated unfairly. During an appeal, the higher-level manager may reduce or reverse the disciplinary penalty imposed or recommended by a supervisor. This is not too high a price to pay to provide every employee with the right to appeal. What Have You Learned? Question 7 Personal Skill Builder 15-2: Disciplinary Action for Just Cause PowerPoint Presentation Slide 15-30, Documentation and the Right to Appeal VII. Discipline without Punishment A growing number of companies have adopted disciplinary procedures called discipline without punishment. The major thrust of this approach is to stress extensive coaching, counseling, and problem solving and to avoid confrontation. A significant (and controversial) feature is the paid decision-making leave, in which employees are sent home for a day or more with pay to decide whether they are willing to commit to meeting performance standards previously not met. If an employee commits to improving but fails to do so, the employee is terminated. This approach replaces warnings and suspensions with coaching sessions and reminders by supervisors of expected standards. The decision-making leave with pay is posed as a decision to be made by the employee, namely, to improve and stay or to quit. PowerPoint Presentation Slide 15-31, Discipline Without Punishment VIII. It’s Not Fair! Norms are the organized and shared ideas regarding what members should do and feel, how this behavior should be regulated, and what sanctions should be applied when behavior does not coincide with organization or group expectations. Various writers purport that one’s sense of fair treatment is contingent upon the following: the interactions that one has with one’s supervisors (parents), the procedures used to arrive at the action taken (punishment or other supervisory actions), and outcomes (the punishment or reward). In a most basic sense, people react to unfair treatment in three ways: •Fight •Flight •Go with the flow All too often, when a sense of “it’s not fair” arises in the workplace, a worker will combine these responses. What Have You Learned? Question 2 What Have You Learned? Question 6 NOTE: While instructors can use the chapter’s You Make the Call! and corresponding Team Skill Builder-15-1 following the discussion of identifying and confronting disciplinary situations, it can also be used effectively as a summary for the material covered in this chapter. PowerPoint Presentation Slides 15-32, It’s Not Fair PowerPoint Presentation Slide 15-33, Key Terms Answers to What have you Learned? 1. Identify appropriate standards and expectations; progressive discipline and due process are linked to employee disciplinary actions. Organizations expect employees to observe discipline and live up to the standards the organization proclaims it instils. Most organizations have written rules and regulations with definitions of infractions and possible penalties for infractions. Rules typically address areas of attendance, work scheduling, job performance, safety, and improper behavior. When infractions occur, supervisors must take appropriate disciplinary action. When ignored, problems do not go away. Supervisors should take disciplinary action with the objective of improving employees’ behavior. Before disciplining, the supervisor must first investigate the situation thoroughly. Disciplinary actions should be for just (proper) cause. Emotional and physical responses should be avoided. The supervisor should determine whether there is sufficient evidence to conclude that the employee knew about the rule or standard and, in fact, violated it. The supervisor should consider the severity of the violation, the employee’s service record, and other relevant factors. If disciplinary action is necessary, normally it should be administered in private. A number of progressively severe disciplinary actions, ranging from an informal talk to a warning, suspension, and discharge, are open to a supervisor as choices, depending on the circumstances and nature of the infraction. The supervisor’s purpose in taking disciplinary action should be to improve the employee’s behavior and to maintain proper discipline throughout the department. Progressive discipline is also desirable and applicable. A supervisor should be unbiased and should immediately exercise authority whenever he or she observes an infraction. Students’ answers will vary. 2. During a major exam, you notice that the student sitting across the aisle from you is apparently cheating. It appears that he (your school’s star athlete) is using his cell phone to get information to answer the questions. What would you do, if anything? Why? If he is caught and confesses to the “crime,” what should the discipline be? Answers will vary on this issue. Some students may say that they would overlook the infraction as the cheating athlete could be removed off the team, in addition to the whistleblower student himself being branded a squealer. If you are a cheater or an athlete, your answer might differ from others in the class who would support telling the professor about the cheating. If the professor catches the athlete, then the school’s policy on cheating would be disciplinary actions such as failing the exam, failing the course, or college probation. There will be an overwhelming number of students supporting the expose, however, there will also be others who choose to be “bystanders” and report nothing, as it does not concern their interests. 3. Discuss the relationship between discipline and morale. Evaluate the following statement: “Discipline should be directed against the act and not against the person.” Discipline and morale are directly related to each other. Employee discipline can be thought of as the degree to which employees act according to expected standards of behavior. If employee morale is high, discipline will likely be positive and the supervisor will probably not have to take disciplinary action. Supervisors should recognize that most employees want to do the right thing. Positive self-discipline means that employees essentially regulate their own behaviors out of self-interest and their normal desires to meet reasonable standards. Supervisors should be role models and project positive examples for their employees to emulate. Unfortunately, employee theft and fraud have been increasing dramatically and some CEOs and managers have not set a good example for their employees to follow. The person is not the crime, it is the person’s behavior; consequently, “Discipline should be directed against the act and not against the person.” All employees who commit the same or a similar offense should be treated the same way. Penalties should be connected with the offense, not with the offending employee. Punishing the person rather than his actions makes the employee in question a “martyr.” Moreover, there is also the risk of increased resentment and discontent among peers and employees. The optimal reaction to discipline is acceptance of responsibility for the wrongdoing and a change in behavior by the employee to the desired standards with no severe side effects, such as loss of morale, disruption of other employees, or a negative portrayal of the company to customers or external business associates. 4. Why should supervisors be unafraid to confront disciplinary situations when they occur? What is meant by “Disciplinary action should have just cause”? An employee gets reprimanded only if his or her conduct transgresses the line set by an organization’s ethical standards. Therefore, if a written set of rules is violated, the supervisor is justified in pulling up the employee in question and he or she should therefore be unafraid to confront the employee and conduct disciplinary proceedings. Many employers have codes of ethics that describe in broad terms their enterprise values and ethical requirements. Ethical codes and conflict-of-interest policies usually include procedures for reporting possible violations. Most organizations have written rules and regulations with definitions of infractions and possible penalties for infractions. Rules typically address areas of attendance, work scheduling, job performance, safety, and improper behavior. When infractions occur, supervisors must take appropriate disciplinary action. When ignored, problems do not go away. Supervisors should take disciplinary action with the objective of improving employees’ behavior. Before disciplining, the supervisor must first investigate the situation thoroughly. Disciplinary actions should be for just (proper) cause. Emotional and physical responses should be avoided. The supervisor should determine whether there is sufficient evidence to conclude that the employee knew about the rule or standard and, in fact, violated it. The supervisor should consider the severity of the violation, the employee’s service record, and other relevant factors. If disciplinary action is necessary, normally it should be administered in private. Students’ answers will vary. 5. Define and evaluate each of the following elements of the hot stove rule: a. Advance warning b. Immediacy c. Consistency d. Impersonality Everyone knows what happens if they touch a red-hot stove (advance warning). Someone who touches a hot stove gets burned right away, with no questions of cause and effect (immediacy). Every time a person touches a hot stove, that person gets burned (consistency). Whoever touches a hot stove is burned because the stove treats all people the same (impersonality). The supervisor can apply these four elements of the hot stove rule when maintaining employee discipline. 6. Why is fair treatment important to people? How might thoughts of “It’s not fair!” affect an employee’s behavior? Look at Question 2 above; the student who is apparently cheating does not get caught. He gets an “A” and you get a “C.” Fair treatment ensures people know where they stand in an organizational setup, and they don’t underestimate the leniency or largesse of the supervisor they work for. Fair treatment also results in fewer infractions and a healthy work atmosphere. When a supervisor is unbiased in handing out reprimands regardless of physical attributes, relationships, and past performance, the employees tend to be better motivated in the knowledge that they are treated fairly in relation to their supervisors. Students might shout, “It’s not fair!” If there is not parody in the treatment of people, morale will plummet, disruption among the students, or a negative portrayal of the instructor and the college. A student debate of who is being cheated when one cheats would be valuable; it gives students an opportunity to reflect on their own ethics and values. a. On the next exam, it appears that he is cheating. What would you do? Why? Students need to consider that there might be a policy in the syllabus that states if one is a witness to cheating in the course and do not report it, you are an accomplice and will receive the same disciplinary action as the individual doing the cheating. Practically speaking, students may choose to remain silent the first time, but they may report it the second time as students begin to realize the negative impacts of a repeat offence. b. Thorndike’s law of effect (discussed in Chapter 4) states that “behavior with favorable consequences tends to be repeated.” Assume that in Question 2 above you reported your suspicions to the instructor and nothing happened. Assume that the student appears to continually cheat, goes unpunished, and gets better grades than you. What are the consequences of the cheater’s actions? It appears that there are no consequences of the cheater’s actions at this time; however, the individual may end up working for a company like Enron, Goldman Sachs, or Bernie Madoff (that embraces this type of behavior); if so, there will be eventual consequences for the cheater’s actions. Fellow students may harbor resentment towards a person who they feel is cheating. Reporting such a person is then the only option, which may result in punitive action against the cheating individual. This 7. Why should employees or a student have the right to appeal any disciplinary action that is taken? Look at your school’s handbook. Does it prescribe an appeal procedure? In your opinion, does it provide “fairness?” If not, what changes would you suggest? In the interest of fairness, an appeal procedure gives the employee/student a review process through which a disciplinary decision may be sustained, modified, or set aside. An employee/student handbook is an excellent tool for ensuring that employees/students are kept clearly informed about behaviors that will lead to disciplinary actions. Appropriate disciplinary action should be taken each time an infraction occurs. The supervisor/instructor who feels inclined to be lenient every now and then is, in reality, doing employees/students no favor. Inconsistent discipline leads to employee/student anxiety and creates doubts as to what employees can and cannot do. Many students have never read the school handbook so this is an opportunity for them to view their rights, responsibilities, and appeal process if warranted. Answers to Personal Skill Building Personal Skill Builder 15-1: You make the Call! In this Personal Skill Builder, students should visit the website of Department of Labor and the EEOC to know more about the current facts relating to age discrimination. When applying the hot stove rule, students should refer to the hotel’s policy which clearly states that the hotel will not tolerate stealing, nor will it tolerate the possession of company property or other employee’s property without prior permission. Students should also refer to the hotel policy which requires all employees to report gifts that they receive from those doing business with the hotel. Student’s opinion on whether Michael should be discharged would differ. Some students may suggest giving Michael a second chance considering that this is his first offence. Some others may cite the existing hotel rules and the need to set a good example for other employees to justify his discharge. Personal Skill Builder 15-2: Disciplinary Action for Just Cause Student responses should reflect content cited below in their list of recommendations and considerations. Supervisors should take disciplinary action with the objective of improving employees’ behavior. Before disciplining, the supervisor must first investigate the situation thoroughly. Disciplinary actions should be for just (proper) cause. Emotional and physical responses should be avoided. The supervisor should determine whether there is sufficient evidence to conclude that the employee knew about the rule or standard and, in fact, violated it. The supervisor should consider the severity of the violation, the employee’s service record, and other relevant factors. If disciplinary action is necessary, normally it should be administered in private. A number of progressively severe disciplinary actions, ranging from an informal talk to a warning, suspension, and discharge, are open to a supervisor as choices, depending on the circumstances and nature of the infraction. The supervisor’s purpose in taking disciplinary action should be to improve the employee’s behavior and to maintain proper discipline throughout the department. Progressive discipline is also desirable and applicable. Taking disciplinary action can be unpleasant for both the employee and the supervisor. To reduce the distasteful aspects, disciplinary action should fulfill as much as possible the requirements of the hot stove rule. These requirements are advance warning, immediacy, consistency, and impersonality. Documentation of a supervisor’s disciplinary action is important to substantiate the reasons for the action. This is especially important if there is appeal of the disciplinary decision to higher-level management through a grievance or complaint procedure. In the interest of fairness, an appeal procedure gives the employee a review process through which the supervisor’s disciplinary decision may be sustained, modified, or set aside. Personal Skill Builder 15-3: Technology Tool—Whistleblower Software This is a relevant scenario in workplace and real-life. One often hears about whistleblowers who report alleged wrongdoing and about retaliations by the rule-breaker. Organizations are thus being compelled to think about setting up mechanisms to report about any wrongdoing without fear against retaliation. Student responses to this Personal Skill Builder will vary based on their own experiences. If they have been whistleblowers themselves then they may be supportive and realistic and in their discipline. If they have been a rule-breaker, they may hold a harsh opinion about whistleblowers. Students should also mention about strengths and weaknesses of the software that they worked with. Answers to Team Skill Building Team Skill Builder 15-1: You Make the Call Students should enjoy this role play. Those unabashed, extroverted students will be able to let their creative juices run. In this TSB, it is important to have students document in their one-page reports whether they believe the disciplinary action(s) were appropriate and for “just cause.” The relationship between high perceptions of trust and the discipline process lies in the definition of just cause, which focuses on fairness, due process, and penalties commensurate with the infraction. When employees view management as fair, considerate, and impersonal, they will not only trust in the discipline process, but they will trust in the human beings as well. NOTE: “Just cause” as a basis for disciplinary action can be a complex concept to apply in a specific case. Labor arbitrators have established guidelines by which they apply a just cause provision in a labor agreement in discipline and discharge grievance-arbitration cases. An excellent source in this area is Frank Eikouri and Edna Asper Elkouri, How Arbitration Works (4th ed.; Washington, DC: Bureau of National Affairs, Inc., 1985), pp. 650-707. The concepts and guidelines presented in the text are consistent with the usual components necessary to justify a disciplinary or discharge action that will be sustained by higher management, arbitrators, governmental authorities, and the like. A professional application of the “hot stove rule” principles can be of great assistance to a supervisor in efforts to meet a just cause standard. Further, the eight tests for just cause (Figure 15.5) can be applied in any work environment. The Supervisory Tips box contains an excellent checklist of questions that should be asked during any disciplinary investigation. These also are applicable in disciplinary situations involving protected-group employees where possible charges of discrimination might be a consideration. Team Skill Builder 15-2: Would you Blow the Whistle? Personal ethics, morals, and values come into play in this TSB; many students will be appalled at the boss’s behavior; however, think nothing of taking company supplies for their home office. Questions to consider: What are expected standards of employee behavior? Is all theft equal? Does the same punishment apply? Students’ answers will vary, but should reflect the rules of conduct and ethical standards discussed within the chapter and found through their Internet research. Encourage students to be specific. You might ask students to publish their personal codes on small note cards they can carry with them. Supervisors should be role models and project positive examples for their employees to emulate. Unfortunately, employee theft and fraud have been increasing dramatically and some CEOs and managers have not set a good example for their employees to follow. Many employers have codes of ethics that describe in broad terms their enterprise values and ethical requirements. Ethical codes and conflict-of-interest policies usually include procedures for reporting possible violations. Most organizations have written rules and regulations with definitions of infractions and possible penalties for infractions. Rules typically address areas of attendance, work scheduling, job performance, safety, and improper behavior. When infractions occur, supervisors must take appropriate disciplinary action. When ignored, problems do not go away. The first place to reference when considering if there are any questionable actions is the company’s established policies. Perhaps there is a policy with regard to ethical standards of behavior? Perhaps there is an established procedure on how people may report allegations? Perhaps there is a travel and entertainment policy that outlines rules on air travel, gift giving and receiving, and acceptable limits on client entertainment, etc? Those policies should be the guide and “moral compass” used to determine whether there are unethical or illegal behaviors. Investigations can spearhead from there. If an investigation reveals that allegations are unfounded, then that simply means there was nothing to warrant taking any disciplinary action against the alleged offender. The individual who reported the concern—the “whisteleblower”—should never be punished or retaliated against for reporting the concern. In fact, there are laws in place that would prevent such consequences from occurring. Team Skill Builder 15-3: Dealing with People who Make your Life Difficult-The Backstabber It’s almost impossible to go through life without finding someone who behaves like the “backstabber.” Sometimes, they also take on the characteristics of the “sniper.” What matters is not what one labels them, but how one handles them. Begin with this skills application by asking students to develop a list of the specific behaviors that illustrate the backstabber. The characteristics they will list include: never directly attack a person; badmouth a person by unwarranted criticism; spread false rumor and untruths; do whatever it takes behind a person’s back to ruin their career, self-image, and destroy the esteem with which others hold them; power hungry, driven by the need to control or greed; and may gang up with others before they attack. The classic example is the person who says, “You really did a good job on that job” and then proceeds to tell anyone who will listen “You should have seen ___ on that job. They really screwed up.” And then explain in explicit detail how bad it really was, even though it may not have been the way it actually was. I’ve learned not to turn my back on Brutus. He is always spreading rumors and will try his best to ruin your career to promote his. You’re always on your guard with him. His team spirit is minimal, but he steps forward to take credit for any successes. He’ll double cross teammates for personal gain and make excuses for any missed work. We work in an organization where the rewards aren’t great, but Brutus is still there, trying to figure out a way to “work the system.” Rex Duncan Most people find it incredibly difficult to put themselves in another’s shoes and look at things from their point of view. But it must be done! Common sense should prevail. Rex does not want to confront Brutus in public. He should wait for a private moment and address his behaviors. Rex should tell it like it is! Brutus will not change his behavior on his own. Rex and others could use the ABCs presented in Chapter 4 to help modify Brutus’s behavior. Finally, Brutus must fully understand that the behavior will not be tolerated and that negative or undesired consequences will come if he does not cease these actions. The following Web sites may be found beneficial by students: http://www.wikihow.com/Deal-With-Backstabbers www.hr.com/hr/communities/organizational_development/backstabbers_lose__eng.html http://www.womensmedia.com/new/backstabbers-at-work.shtml http://coaches.aol.com/business-and-career/feature/_a/how-to-protect-yourself-from-office/20060619170709990001 Also see, Harvey Robbins and Michael Finley, “Dealing with Difficult People,” Security Management (April 2001), pp. 28-33; and Richard Ensman, “The Games People Play,” Incentive (September 2001), pp. 74-75. Answers to Supervision in Action Questions Video Clip: Unite—Employee Rights and Responsibility 1. In what way does Mike Boyle enforce positive discipline among his employees? Students’ answers will vary. Mike Boyle addresses the issue of employee discipline by letting the employees make decisions in their area of expertise. When there is a misunderstanding between the management and coach relating to issues such as coaching methods adopted, Boyle personally holds a discussion with his employee, asking him or her what inputs they can give that can be implemented on the floor. Regardless of whether the input is implemented, the discussion takes place. Therefore, employees feel their views will be heard, leading to a healthy workplace. 2. Describe some of the methods used by Mike Boyle to enforce positive discipline among members of his gym? Students’ answers will vary. MBSC uses a very direct approach to health and fitness, as stated by Mike Boyle himself in the opening few sentences of the video. He states that if they see something they don’t like, they make it clear. They also address how to go about avoiding it. Errors are corrected in the first instance. This approach makes it clear to customers and employees alike that what is wrong will not be carried forward, and issues nipped in the bud. 3. Why does Mike Boyle state that money was not the incentive that brought him to setup the gym business? Mike, states that he wanted to make a difference by contributing in a positive way. He says that he identified a market that enables him to address a real social need. That in turn translated into a massive market share and an established business model. Finances took care of themselves once a system had been setup. Therefore, money and a way to get rich, was never the driving force behind establishing the business. Students’ answers will vary. 4. How has Mike been able to train his team in order to deliver the kind of performance that makes MBSC a market leader? Students’ answers will vary. At the outset, Mike clearly mentions that he doesn’t need narcissistic individuals on board. He only takes those he deems are up for such a business. His team is young and energetic. He makes sure they maintains the tempo and constantly improve their performance by guiding them and letting them take decisions which he then reviews. He also holds discussions with his younger colleagues asking them for their thoughts on how a process ought to be done. A case in point is that of the Strength coach and massage expert Marcos Sanchez. Sanchez was personally guided by Mike and has steadily transformed from a young rookie into one of the best trainers at MBSC. 5. What are the different types of customers that visit the gym, as observed by Mike Boyle? Students’ answers will vary. Mike observes, in the video, three categories of visitors which are as follows—adults who train in a group, adults who train individually, and the young athletic types. Students may suggest other groups of people. However, opinions will differ. Solution Manual for Supervision: Concepts and Practices of Management Edwin C. Leonard , Kelly A. Trusty 9781285866376, 9781111969790