Issues against some discipline policies --[Reported by Umva mag]

What are the improper ways in which the human resource (HR) department and managers discipline employees? What can be done? — Lemon Lime

Not only HR people and line executives but their unprincipled lawyers as well. Some lawyers give only shallow advice to management and embolden them in the process while resorting to malicious means to defeat employee claims at the labor department and elsewhere.

That’s more of an exception rather than the general rule. To fully appreciate the accuracy of the claim I am making, just spend one day talking to workers with pending complaints against their employer.

You’d be surprised at the kind of labor justice practiced by employers and the quality of HR personnel making appearances at labor proceedings.

So let’s talk about the uneducated approaches taken by some HR people and line managers. On top of my list is the inadequacy or incompleteness of incident reports summarizing the alleged violations.

Many times, their Notice to Explain (NTE) lacks clearly worded specifics of particular provisions or provisions that have been violated, including the absence of the complainant’s affidavit and their witnesses. HR people would simply allege wrongdoing without giving the bill of particulars.

Another issue is the stiff timelines for employees to submit a written reply, say within 24 to 48 hours. Some labor jurisprudence considers ample time to be at least five working days.

OTHER ISSUES
I’ve read, reviewed, and evaluated hundreds of company codes of conduct. About 70% of them lack guidance on how line executives should manage difficult employees. In addition to the three elements stated above, let’s explore the following:

Perceptions of HR as the hatchet department. Employee discipline is job number one for team leaders, line supervisors, and department managers. It cannot be delegated fully to HR. Their actions could prove to be too little, too late. HR’s role must be understood as the internal expert and consultant on the matter.

The code of conduct as a basic reference. All employees must be given a printed copy of the code of conduct. It must also be posted in the company’s intranet, giving all stakeholders instant access. Issuing a copy of the code is imperative as it contains an employee acknowledgement of receipt and affirmation that they understand its contents.   

Key elements of the code of conduct. It must include the company’s mission, vision, and value statements; management commitment to due process; a step-by-step flowchart starting from an incident report; definition of offenses; and the schedule of penalties ranging from oral reprimand, written reprimand, suspension from work, and termination of employment.

Specific roles of HR and line executives. It’s not the job of HR to personally handle each employee case, regardless of its gravity. The line executives are the first line of defense of management. However, the signature of the HR manager may be included in the NTE, if so desired by the line manager, and in case of termination of employment.

Absence of an NTE template. It’s also advisable to include examples of a model incident report, the NTE and its contents, a Notice of Management Decision, and a memo template of a written reprimand, suspension, and dismissal notice. Note also, that there should be a template for a memo in case of an oral reprimand. This is for record purposes.

Composition of management disciplinary committee. Depending on the character or personality of an employee undergoing disciplinary proceedings, and in cases of dismissal from employment, an organization must gather all department heads to decide on difficult cases. Otherwise, their second-in-command may take on the job of handling cases of non-management employees.

Open-door policy and whistleblower program. This allows disgruntled parties the option of a back channel to share important information, particularly when the employee being investigated is a high-ranking official.

POSITIVE DISCIPLINE
Every organization must have a code of conduct that regulates its employees’ behavior. This is important in instilling a culture of order and discipline. However, over several decades, the code of conduct has come to represent a narrow understanding of employee discipline, giving little importance to instilling good behavior through a two-way communication system.

Studies have shown that positive discipline is more effective in changing employee behavior. It starts by allowing everyone to build self-confidence and discipline with the help of proactive engagement approaches that must be initiated by line executives. Without them, it will be difficult to have positive discipline.

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