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04/12/2016

Fair and Consistent Discipline - A Key to Union Avoidance

Nancye Combs, HR Enterprise, Inc.

Fair and Consistent Discipline

- A Key to Union Avoidance 

After advancing the notion in a previous advisory that Progressive Disciplinary is a Hoax, it is fair to acknowledge that it is widely used, especially in manufacturing and distribution.  A clinical view is that progressive disipline is an increasingly punitive schedule that is designed to give employees an ample oppportunity to change behavior and to send a message of what the workplace demands to remain employed.  The final step is reserved for the time when it is determined the employment relationship is broken and the employee is discharged. 

The responsibility for improvement lies with the employee, but selecting the appropriate level of discipline lies with management   New supervisors struggle to determine what consequences are warranted, based on the behavior of the employee.  In other words, “How Tough is Tough?”  The goal is to ensure that the message to the employee conveys the seriousness of the unacceptable behavior, but is neither excessive nor inconsistent. 

If discipline is excessive, employees will see the supervisor as unfair and abusing power.  Morale suffers.  If the discipline is inconsistent, the supervisor will be accused of favoritism.  In a union environment, grievances will be a sign and productivity will suffer.  In a non-union environment, union organizing is likely.  One of the selling points from the union organizer is “job security.”  Given the number of layoffs over the last decade, job security is an illusion, but to employees threatened by inconsistent management, the promise of help of any kind is appealing.

Executives from companies with multiple locations express concern about lack of supervisory consistency.  They know that supervisory conduct ranges from the overly tolerant to the intolerant.  The supervisor with unreasonable expectations versus the seasoned veteran, who knows employees will challenge their patience and test the limit.

Frequently, those in management/supervisory training classes ask for guidance.  They want a list they can reference to decide just “How Tough is Tough?”  You know, a sort of CliffsNotes™, a shorthand version of a book like we were assigned to read in school?    Good idea!

In an effort to assist, the endeavor to provide such a guide was launched, but first it is critical to consider the nature of the business.  For example, if your company manufactures, stores, or distributes flammables, such as fuel, pyrotechnics, ammunition, or any other product that ignites or explodes, then “Smoking in an unauthorized area,” is an immediate terminating offense, not just a warning.  The same would be true of failing to properly store products, such as propane, that can become unstable if dropped.  Safety issues override everything else going on in the workplace! 

With few exceptions, we have common expectations for the conduct we expect from employees.  We agree that taking company products, without paying for them, or hitting another person, will result in immediate termination.  A pattern of Monday absences will result in a couple of chances to come to work regularly before termination.  A few circumstances may be novel and require investigation and counsel before discipline occurs, but human behavior is more more predictable than we think.

In an effort to address those that are predictable, and provide the frequently requested reference, especially for multi-unit operators, the effort continued and the guide was developed.  Behaviors were grouped into four categories:

Group I:               Those behaviors that start with a Coaching Session, with a follow-up memo

Group II:             Those behaviors that start with a Counseling Session, followed with a written reminder

Group III:            Those behaviors that start with Formal Written Reprimand

Group IV:            Those behaviors that result in immediate Termination

This list is not all inclusive, and does not address the aforementioned reference to products that ignite or explode, but there is no doubt that it is a very good start toward the ultimate list for your business and the consistency that is essential to a reputation that your management is fair and consistent.

GROUP I

These employee problems generally result in a Coaching Session, followed by a summary of the session.  A copy of the follow-up memo is placed in the employee file.  It is NOT a formal reprimand. Repeat behaviors lead to Step Two, Counseling.

1.       Leaving the property during work hours, exclusive of meal breaks, without the permission of a manager

2.       Excessive tardiness or absenteeism, as specifically defined in the Absenteeism and Tardiness policy

3.       Failure to observe working schedules such as starting time, ending time, and rest/meal breaks

4.       Unsatisfactory work performance, loafing, or other abuse of time during working hours.  This includes excessive use of personal telephone, email or texting

5.       Actions that interfere with other employees in the performance of their duties; although not intended to reduce productivity

6.       Unacceptable personal appearance or personal hygiene, uncorrected after being informed

7.       Failure to log or clock in or clock out your time card, or sign in or sign out at the reception desk when reporting for work or leaving work

8.       Abuse of established break and meal period policies

9.       Minor inefficiencies, such as not reporting broken equipment or sales numbers, as requested

10.   Horseplay that is boisterous and playful, but not likely to be unsafe

11.   Failure to take reasonable care of assigned equipment

12.   Removing or altering any material on bulletin board or on company property, or removing a post from any bulletin board

13.   Socially distracting or interfering with another employee in the performance of his/her work

14.   Attending to personal affairs on work time

15.   Producing poor quality work

16.   Failure to report a change in immigration status

17.   Having an unauthorized visitor in a restricted area

18.   Any unauthorized use of a personal telephone in a restricted area (call, email, text)

19.   Violation of the technology policy, excluding illegal behavior

20.   Solicitation from other employees for personal or\financial gain (raffles, product sales)

21.   Refusing to wear uniform or reporting for work inappropriately dressed

22.   Inattention, fatigue, poor attendance, that results from a second job

23.   Keeping an unclean, cluttered workspace that could cause an accident

24.   Failure to wear mandated protective clothes or safety equipment

25.   Unsatisfactory use of time - socializing, loafing, being away from assigned work area

26.   Smoking in a restricted area, but is not likely to cause a fire or explosion

27.   Inappropriate discussion of personal issues at work

28.   Discussing or posting information about the personal life of another employee that could be embarrassing (gossip)

GROUP II

These employee problems generally result in a Counseling Session, followed by a summary of the session.  A copy of the follow-up memo is placed in the employee file.  This is not a formal Reprimand.  Repeat offense results in Step Three - Reprimand

 

1.       Performing unauthorized work on Company time with personal financial gain

2.       Continued refusal to work a reasonable amount of agreed upon overtime

3.       More than one absence or tardy with little or no notice - after coaching

4.       Creating or contributing to an unsafe workplace

5.       Violating the parking or traffic regulations on premises

6.       Intentionally interfering in the workflow or efficiencies of others

7.       Disorderly behavior, such as arguing, that slows down work, or creates hostility

8.       Behavior that reflects a continued disregard for safety after Coaching

9.       Insubordinate statements/actions that result in a hostile workplace

10.   Allowing non-employees to interfere in the operations (family member, friend)

11.   Working overtime without authorization

12.   Careless use of tools/equipment that could cause damage or injury

13.   Tampering with or defacing a time record, knowingly falsifying the time record of another employee or having your own time record falsified by another employee

14.   Unauthorized entry into the building or into a restricted area

GROUP III

These employee problems generally result in a Written Reprimand.  The employee and supervisor meet in person and the employee is presented with a formal document listing the offense, the action taken, the expectation for future conduct, and the consequences if the behavior is not corrected.  The employee is informed of any right to appeal the Reprimand to a higher-ranking employee.  A copy of the Written Reprimand is placed in the employee file.  Repeat offense results in Step Four - Termination.

1.       Possessing on your person or in a company-owned vehicle any firearms, explosives, knives, or other weapons that are prohibited by law or by the owner of private property in a conceal-carry state. (Weapons in personal vehicle must never be obvious or accessible)

 

2.       Disclosure of confidential Company information to unauthorized persons

3.       Gambling with cards or dice on company property

4.       Sleeping during working hours

5.       Willfully delaying or restricting production or inciting others to delay or restrict production

6.       Solicitation of employees or customers for any cause, and the distribution of literature of any kind without prior management approval in any work area of the company during work time

7.       Violation of safety regulations, unauthorized removal of safety devices, or willful failure to use safety devices or equipment furnished by the company, that could cause serious injury or death

8.       Operating any equipment or Company property in a reckless or unsafe manner, or in a manner which may cause injury or jeopardize the safety of self or others (includes any material handling equipment and vehicles)

9.       Failure to follow all Rules and Regulations of the Department of Transportation (DOT), including Commercial Driver’s License (CDL) requirements

10.   Receiving a citation for violation of traffic and safety laws while in a Company vehicle (speeding, reckless driving, driving while impaired)

11.   Failure to work in harmony with others when coaching and counseling have occurred and failed

12.   Establishing a personal relationship with a subordinate in violation of the anti-fraternization policy

13.   Unauthorized photographing of products or persons or in the workplace that could violate privacy or influence sales and/or profits

14.   Failure to report a work-related injury

15.   Falsifying a reason to leave the workplace

16.   Transferring hazardous materials into unauthorized container, that could results in injury or death

17.   Attempting to repair equipment without proper training

18.   Enabling equipment "locked out" with lockout tag of another employee

19.   Horseplay that could cause injury

20.   Pouring oil, flammable liquid, or any chemical into a drain (May be Group IV offense if material is explosive or causes fire)

21.   Unauthorized removal of a yellow hazard tag

22.   Removal of any guard or protective device from a machine

23.   Unauthorized use or tampering with the technology equipment (phone, email, computers, pagers, etc.)

GROUP IV - Termination

The appropriate step for Group IV Offenses is Termination, unless there are extreme circumstances that warrant consideration of the Offense may be treated as a Group III Offense.

  1. Any violation on Company property of moral standards established by law, including sexual harassment, that may be detrimental to the reputation of the company.
  2. Conviction of, or entered guilty plea to, a felony which adversely affects the employee’s ability to perform his/her job
  3. Deliberately abusing, destroying, damaging or defacing Company property, tools, equipment or the property of others on Company premises
  4. Willfully falsifying an official record, such as  employment record, medical record, production record, injury record, expense record, or deliberately lying to a member of management for financial gain

5.       Fighting, threatening, or attempting to willfully assault another person while on company property

6.       Insubordination or the refusal or failure to perform, or any willful disobedience of reasonable instructions issued by a supervisor, or other management representative (Label this termination on your record as a voluntary quit - see below)

7.       Using threatening or abusive language or behaving as a “bully” toward any other person, including management, co-workers, customers, suppliers, or visitors

8.       Negligence resulting in serious injury to another person, or to company property

9.       Any professional ethics breach - presenting false credentials, failure to license, making false statements, etc.

10.   Theft of any kind

11.   Filing a false sexual harassment claim

12.   Deliberately changing a record to reflect false operating or financial information

13.   Any malicious statement that is intended to discredit or defame the character of another person and create morale or productivity issues in the workplace (includes social media posting)

14.   Providing false information during an official investigation

15.   Relating information, labeled "Confidential," to another person without the authorization to know

16.   Reporting work hours for pay that were not actually worked

17.   Personal behavior on/off the job that brings discredit to the company

18.   Providing false information to be paid for time off for jury duty, bereavement, personal reasons

19.   Filing a false insurance claim for leave or benefits

20.   Using paid time off to try out other employment

21.   Unauthorized use or removal of Company assets, including tools, equipment, and vehicles.  This includes the unauthorized removal of scrap, damaged or obsolete products, materials, equipment or supplies and unauthorized use of company credit card.

22.   Smoking, or having any item related to smoking, or could cause a fire or explosion in a dangerous restricted area (lighter, cigarette, pipe, e-cigarette, matches, smokeless tobacco)

23.   Performing any kind of work while receiving Worker's Compensation benefits

24.   Violation of the technology policy that is considered to be illegal

25.   Assault of any kind

26.   Illegal activity using any company equipment

27.   Possession, use, distribution, sale, manufacture of any illegal substance, or drug paraphernalia, including excessive use of a legal drug, per Drug Free Workplace Policy

28.   Filing a false complaint against another person with harmful intentions

29.   Failing to follow the commands of emergency first-responder (Police, Fire, EMS, Military)

30.   Operating vehicles or equipment without proper license and training

31.   Sharing confidential pass codes or duplicating keys to the building/offices

32.   Helping another employee violate the law

NON-DISCIPLINARY TERMINATIONS:

There are certain behaviors that result in the removal of an employee from the payroll, but are not considered to be a “discharge.”  They are terminations that result from circumstances outside the control of the employer.  For example:  If the employee loses the right to drive a commercial vehicle after conviction of a DUI, the employer is not responsible.  The employee actions resulted in a disqualification from performing the work.  All of these should be considered to be: “Voluntary Quit.”  

1.       Absent three (3) or more days with no-call and no-show:  This is a voluntary quit - Job Abandonment

2.       Refusal to accept a reasonable job assignment:  This is a voluntary quit - Refused Available Work

3.       Failed Mandatory Commercial Driver's License Physical:  This is a disqualification - Unable to meet minimum job requirements for CDL

4.       Loss of Commercial Driver's License:  This is a disqualification - Unable to meet the mandatory job requirements (May occur through conviction for traffic offenses or drug/alcohol testing)

5.       Failed physical examination required to perform the work:  This is a disqualification - Unable to meet the minimum job qualifications

6.       Loss of professional licensure:  This is a disqualification - Unable to meet the minimum standards of the job.

 
 

Nancye Combs founded HR Enterprise, Inc. in Louisville, KY thirty years ago and is a nationally respected authority in Human Resources and Organizational Development.  She is the endorsed Human Resources consultant for six major trade associations, and consults with manufacturing and distribution trade association members throughout the world.  Nancye has four decades of practical experience in human resources and executive management.  She is called a voice of authority and, speaks, writes, and offers expert witness testimony on management issues.  She is the Bellarmine University instructor for more than 1,400 human resources professionals seeking to become nationally certified by the Society for Human Resource Management.  She is also a member of the faculty for those who are seeking to become a Certified Professional Management Representative (CPMR).  

This is a business management advisory and is not designed to substitute for the services of a competent legal advisor.  It is not specific to the laws of any state in the U.S.  Nancye can be reached at:

Nancye M. Combs, AEP•SPHR

HR Enterprise, Inc.

P.O. Box 6507 • Louisville, KY  40206-0507

(502) 896-0503 • FAX (502) 896-0033

e-mail:  nancye@hrenterprise.com 

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