Disciplinary Systems

For the most part, employees discipline themselves by conforming to what is considered acceptable behavior simply because it is the sensible thing to do. Self-discipline can be encouraged when people are treated as adults—that is, when the organization uses an “open book“ management style, offers employees opportunities to have input into decisions, and makes them comfortable when “speaking truth to power.“ The need for managers to use best practices in the disciplinary process is illustrated by the availability of professional liability insurance to safeguard managers’ livelihoods and careers. The term discipline is best understood as orderly conduct at work achieved by self-control and respect for agency rules. When performance problems (failure to complete assignments satisfactorily) or misconduct issues (insubordination, document falsification, loafing, carelessness, fighting, drug use) occur, the personnel appraisal and/or discipline systems may be utilized to improve behavior. Factors that managers should consider when using these systems include problem severity, duration, frequency, extenuating circumstances, organizational policies and employee training, agency past practice, and management support. To protect both the individual and the institution, appraisal and discipline must be used only for justifiable reasons. To ensure fair treatment, actions must be derived from written guidelines; be corrective, not punitive; be based on the act, not on personality; and be timely, consistent with previous cases, and proportionate to the problem. The evaluation will be only as good as the evidence on which it is based. Documentation is the cornerstone, and it commences with a prompt and thorough investigation. The purpose of such systems is not to win battles but to provide feedback and training to foster responsible employees. Managers can reduce the number of problems they experience during the discipline process through training, establishing clear work rules, following procedures, and documenting actions taken. The key is to understand the scope of their administrative authority, focus on behavior (not the person), avoid decisions based on hearsay, use appropriate penalties, and follow through on the judgments made.