Session 4 Disciplinary and Grievance Procedures

Introduction 4.1 Disciplinary procedures 4.2 Grievance procedures 4.3 A summary of interviewing skills and techniques Summary and objectives

Introduction
Discipline tends to coqjure up visions of the schoolteacher's cane or the sergeant-major,and so it is avoided by many supervisors and managers who fear that disciplining will spoil the atmosphere at work, risk legal - employees problem and &duce motivation. This session demonstrates that, to the contrary, good disciplinary rules and procedures aasist an organisation to operate effectively. Grievance procedures, usad skilfdy, are also necessary in the interests of fairness, and so the key detaile of good disciplinary and grievance interviewing are also m e r e d in the second section. The main aims of this session are to introduce vou to disci~linar~ and grievance procedures, and to encourage you to hnd out aGut t h i rules and p d u r e s operating in your own orgauiaation. We shall discuss the general characteristics of such procedures so that you are more able to operate them effectively. You will find additional information in the resource book A Legal ~ramewo-rk fir Managers. In the final section we aim to help you to improve your ability to conduct disciplinary and grievance interviewe.

4.1 Disciplinary procedures

Many managers find the implementation of disciplinary procedures, and especially the disciplinary interview, one of the most difiicult aspecta of their jobs. In this section we give some guidance on disciplinary pmcedures so that you are better prepared should the situation ariae. We can only give you general advice. You should consult the person in your organieation responsible for persome1 issues for guidance on your own organisation's policy on discipline and disciplinary interviews. Soundly based advice on how best to conduct a disciplinary interview is not easy to find, possibly because circumstances vary so much in each individual case. Of course, the aim of the interview is not to grind the employee into the ground, but to achieve an improvement in performance. You are most likely to achieve this if you establish a 'win-win' situation where both parties stand to gain from a sueeesaful outcome. Ideally, all your actions, questions and statements should be calculated to achieve this outcome. Moreover, you should take account of the psychological pressures on the interviewee and the effects that these are likely to have on that person's behaviour and responses. It is a aituation rife with tension and possibly unintended behaviours, and one which needs handling with sensitivity and h e s s of purpose.

BOOK 4 POWER AND MANAGING CONFLICT

~~Nh.h u l d clearly net out the ntadada of acceptable

The need for disciplinary procedures

behaviour Porpected h employeee within an organhation, and the eoneequenaw of breachiug any of thew rulen. On the other hand, dbcipZinarypnwdum~ are the internal and administrative machinery for applying these rulw and executing any dhciplinary action. In practice, a good diaciplinery procedure should either include the Porpected 'rules of conduct' or 'company ruled within it, or if not, any such rulw should be made Lnowll hand-in-hand with the procedure. IntheintroductiontothiesegaionIaaidthatgooddisciplinaryprocedurea 'aesiat an organi~tion to operate effectivelf. How do they do this? They do a o b y c u t t i n g t h e ~ l o s s e a t h aalltaooRenoanvinlostworkoutput t for reaaone such aa ahnteeism, lateness, lack of skill or juat plain idlenens. Viewed in euch a light, diecipline Bhould be lleen aa a positive aspect of the development of your M .

The main re-

unauthorised a h m e and poor work standanb. A fourthreaeon - excessive

sick leave can a l s o lead to a course of action that is similar to diaciplinsrg

for taking diacipliuary action are poor timekeeping,

action. There are, of course, many other reaaom for t a k i n g disciplinary action, ranging from fraud to sleeping on duty. It is usually poclldble to rank breaches of W p l i n e as follows: minor misconduct that can be dealt with by an oral reprimand or warning more s e r h a misconduct that w i l l moult in writtan warnings

grossmisamductthatwilluauallyattracttheultimatepenaltyof dismissd. TheR,fraud, physid violence or innubordination are almost invariably treated aa groan mbconduct. Sometimes gross misconduct such an theft can be d i f a d t to p m , but a 'found in possehon without due authorination' rule help8 to make it disciplinable. In all cases the categorhtion of &m should be undemtood and agreed, and the organisation muat make sure that everyrulecanbeetlfond The Advisory, Conciliation and Arbitration Service (ACAS) in the UK - an independent organination set up to advine and arbitrate in induntrial dieputas between M and employera hes drawn up a umful Code of Fhctice. The Code &tee that, in all mattem of discipline, i n d i v i d d ahould have 'the right to be accompanied by a trade union rep-tative, or a fellow employee oftheir choice.' Ideally thin accompanyingmpreaentative h u l d adopttheroleofobaerver a n d b e ~ t o g i v e a d v i c e t o t h e i n d i v i d u a l c o e d outside the informal or formal interview. The presence ofa third party can make an already traumatic encounter even more daunting for you an a manager. ' hcombat this you ehould give rreriow conaideration to inviting your own manager or repreeentative from the Personnel Department to aseist you. Before entering the interview, you Bhould be certain of your position within your organisation's disciplinary procedure and the law. Ifyou are disciphhg a shop steward or similar tradeunion o f i i c i a l ,nothing ahould be done be&m you have d i a c w d the matter with a more senior fulltime member of the same union. Shop lltewards muat behave within the aame W rulea aa everyone e h , but you muet e n a m that your diesiplining ofthe individual is exactly that, and that it cannot be conetrued aa an attack on the union. Again, if in doubt, get advice from the Personnel Department. The ACAS Code &o requireg that any diaciplhaq pmcedure ehould provide a right of appeal, in o n k to review the dedeion made and check that

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OPEN BUBME88 BCHWL PROFEWIONAL CERTIFICATE M W C t W M N l '

p d u r e a have been properly adhered to. The right of appeal should be kept aeparate from the normal grievance procedure - diecuaeed later in this session because it is a special cue. Individuals should be allowed to have their cases speedily and independently reviewed by a higher authority, usually w i t h i n the same organisation. The person, or persona, chosen to act as arbitrators should not have been previously involved in the ease. If their deciaion is in favour of the dimplined person, life can become very m c u l t for you as the manager. So it is obviouely eessntial that, before you mart to M p l i n m y procedures, you are confident with your deciaion and that you are able to follow properly the company p d t u w .

ACTIVITY 4.1

It is important that you are aware o f the disciplinary procedures o f your organisation. Make a note in your diary to approach the person in your organisation from whom you can acquire a copy (you may want to turn to Activity 4.3 on page 79 and collect that information at the same time). Return to this activity once you have read and understood your organisation's procedures. Note the key points o f your organisation's disciplinary procedure in the space below.

Operating disciplinary procedures

Almost all disciplinary procedures will have a number of stages. In many 5mt instances of an apparent breach of discipline, a wunselling interview on your part wuld well avert having to invoke the dieciplinary p d u r e at all (aa we naw in Session 3). You,aa the immediate manager, will be heavily involved in the early wuneelling and informal stagea of diecipline but it ia highly like.1~ you will be acmmpnuied by another management reprewntative in the later stagea. And any final deeieion to dismiss may not be entirely yours. Broadly, the sequence ie an in Figure 4.1.

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BOOK 4 POWER AND MANAGING CONFLlCT

However, in the case of serious misconduct most procedures allow for the informal stage to be omitted. In case8 which might be ratified later aa gross misconduct, such aa physical violence, the beat course of action is to get the employee(8) concerned off the premises aa quickly aa possible and suspend them on fclllpay until an investigation can be completed. The employee(8) can be called back to work later to attend a formal disciplinary interview where a decision can be made about their continued employment. It is important that you aa their line manager immediately put together a written report giving aa full details of the incident aa possible. You should attach to your report the written statements of any other employees, managers or supervisors who witnessed the incident. Immediate investigation should ensure that you are disciplining the right employee(8) and heve dealt with any provocateurfs) as well. Theee written recorda will be crucial for you and your organisation if such an incident results in dismissal in order to defend a complaint of unfair dismissal by the ex-employee(s) to an industrial tribunal. Industrial tribunals, or their equivalent, will assess the reasonableness of employers' disciplinary actions, and will normally attach great importance to the procedures and the manner in which they have been carried out. If you try to defend an unfair d i d s s a l caae without having a well established and publicised disciplinary pmedure, then it will be virtually automatic that the tribunal's decision will go against your organisation. Although it is likely that the pereonnel or employee relations specialist (if you have one) will handle the caae on behalf of your organieation before the tribunal, you aa the immediate manager will invariably be called aa a witness. Your success aa a witness and in putting your organisation's defence will not depend on how articulate you are 'on your feet', but solely on the way you handled the situation and the quality of the records that you kept at the time. Fortunately, most easea of ill-discipline can be handled successfully at the informal stage. However, because of the possibility of subsequent dismissal and an unfair dismissal hearing against your organisation, you need to be careful even in the very early, informal stages.

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4 The &st Btep is inwstigcltion.You need to assemble nome information before deciding whether action is warranted. Broadly q e a b g , nome action L likely to be necaanary if any of the following conditiom apply: a theconductispotmtiallydangmunormatly a the conduct emurages othere to copy and could get out of control a the errore involved are preventing suocesefuljob pea form an^ the conduct m o p , irritatss or offenda other workem the conductumhuhw authority theconductinvolvea~oflomeruleforwhieh~~actionis

d
Ifaetionimfelttobe~yourhouldcheckw~informalorfonnal actionhasbeentahenbefbre,mingyour0~1)reco&andthoeekeptbythe mgankation. Repetiticm ofthe name o B m m only should be dealt with by progressively more severe disciplinary action. ~redselv and collect corroboratinn You should formulate the com~laint evidence. You w i l l need to y o d comp&s dieciplinary p d t & and comult with your p e d specialiet and your own m a w , and if the t full-time complaint involves a trade union repremtative, also c o ~ u lthe unim ~mcial. The next atage involvea takin# &ion. Thin L very important; a timely informal warning can &n prevent a minor problem k m escalating further. The chancss of getting an employee to m t o etaduda are much

cheSL

~terifactionistahenaseoonasthepblemis~ved.Ifpou,or eupervieoe whom you uuuqp, are reluctant to take early Wplinery action for fear, perhap, of legal implication or of not being able to handle the atuation, you should bear in mind the fact that t h i w may get woreel For minor inatanws of mieconduct lateness, uutidine~s, and so on -0 0 and an on-the-job reprimand should be adequate. Be positive where you can:make it clear that you are not diasatiefled with everything. Where a reprimand L needed this should be in private, should avoid humiliation or abuse ofthe individual and should take place an awn an possible aftar the m i h m e a ~ u rIt . should be made clear to the individual mnecnned w h i c h form of behaviour is not acceptable and why. The person should also be given a fair chance to explain the chumntmwe. Perhaps you might want to une the kih of active listening that we covered in the previoua w i o n . The person's explanation may indeed justiqr the action, or leave you in sufEcient doubt about the appropriateness ofthe warning that it is probably wisest not to give it. At the end of the exchange you &odd summariee the eituation, making it very clear to the individual that, where a reprimand has been given, your conversation must be treated as an informal warning.AnyAoyperiadrhouldbespeci5ed,togetherwiththe conaequencw if there is M improvement m another similar breach ofthe rulw. The incident should be notad in your worklog. N&dcaaee~bedealtnith~the~b.evenattheinformalstane. Perrirbnt lateor a r e l e u & may became apparentonly over a periodmdaspeeifie~nbtobemadetodealwithit.Suchinformal intervim will need to follow a similar pattern to formal onea. The review period is the 5nal part ofthe informal atage. It is important in minor cases of mhmnduct, and even more M) in canes of inadequate work perfmmanee, to set a time at which the matter will be reviewed and to clearly mntate the job s h d a r d a by t h i n date. Of cowwe, any impriwmmt can be reasseaaedd u a & tiuough i n f o d intarvieG, feidback and couneelling within-W &-time p & d .

In summary, the informal stage of a diedplinary procedure has close linbs with coun~~lling. There needa to be a stxong emphasia on fact-finding and often on establiohing the individual's view of the situation. In mof poor perfonnancs, and even mrnetimee when there has been a clear breach of d u c t ruled, the approach may involve eatabliabing m w m a for this, and working out waya o f helping the individual to conform w i t h staadards in

future.

Describe an occasion, if there has been one, when you have had to take disciplinary action against a member of staff.

What stages did you go through?

The stages that you went through w m probably influenced by the seriousness of the offence and the details of your organisation4 procedures. Did you feel that the stages you went thmugh dealt with the situation efkctively and eflciently? M have suggested that counselling is an appropriate response to minor pmblems, whereas disciplinary procedures should be used for more serious breaches of discipline. The steps you should go through for the more serious offences are investigation, action and review.

Conducting disciplinary interviews I should now like to diecues four s t e p in handling diaciphmy interviews:
1 Aim 2 Reparioefortheintmview 3 Theinterviewitself 4 Follow-up aftar the interview. I stress that thew are pointers only and I am only trying to direct you to the eortsofi.suesyou~dbeoo~~.~ienoonemrrectwayof conducting a diaciphaq interview. Adapt the approach to flt your situation -but remember that in interviewing thereia no substitute for experience.

To bring to the attention ofthe interviewee the fact that rule8 have been
brotemorthatperfmmancehnotbeentotherequiredstandd,and that thin hslr been mordd
l b prevent ftrther deterioration of the situation by giving the employee an

opportunity to improve perfo-ce after a warning about uuaatisfactory work or conduct. ' I b take corrective action andlor apply sanctiolls.

PrepariPribrthsia~w Be dear about your aime and particularly about the desired outcome,but & i be l l prepared to lieten and conaider what the parties have to nay. Be clear whether you have the authority to apply the correctivw or aau&on# which you feel at 5mt night to be necessary. Plan the course of the interview, albeit tantatively. Reeeareh the situation

carefullg.~totOifiryoufeelthatitLim~ttodombut enwethatallsuche~mm~tionLaaderatoodtobeinstriet coddeuce. Write down all the faetcl and be in a position to 8ubnbmtiate them if challenged. Work out key ~ueetiolu3. MaLenureyoupolleessandhave~alltherele~~~tdocumeatsready to take i n t o the interview, for example the employee'8 personal flle, a copy of your organisation's rules and p d u r e s , mpporting papera, such as time eheeta, dckness record, t d & g flle, appraisal reports, and documentation of any previous oral &dlm writtan wakhga. Read or re-read your organbation'r diaciphaq rules and p d u r e a . m The interview should take place loon aftar the incident, though a short cooling-oiYperiodmay be needed to allow both partiee to appnmcb the situation rationally rather tban a m t h ~ & A delay delay time for the interviewartocollectmore~tion,buttheperiodllhouldnotbeao l ~ t h a t t h e b r e a c h ~ b e t a k e n a e b e i ~ c o n d o nIneaeeclofserioua ed. misconduct it is ese-entiel to see the person(s) straight away. m You ~hould tell the employee ofthe time, the place and the purpose of the interview.YoushouldmaLeitdear,~acmrdinethe~ofpdure reached,whether the employee L entitled to be acam~panied by a union mpmnatative m a colleagm.

BOOK 4 WWEll AND IMNMMG CONFLICT

The interview itself

The atmosphere ahould not be too cosy, but avoid the 'don't sit down, this w i l l not take long' approach. By the formal stage of a disciplinary procedure, thia is quite inappropriate, and in any interview the individual a fair hearing. The amount of t i m e that the interviewee and you apak ahould be roughly

esual.
Use open questions to generate the maximum amount of information. However, if the interviewee is evasive, or you need to get clear atatemente, you will need to uee closed and probing queationa. In cases ofmiseonduct, establish what happened and where it happened, and che.ck the interhwee's reascwe for thia conduct a t the time. In cases of poor performance or negl@nee, be sure to diecues the nature of the job. Try to aatebliah that what hos ocnured is wunter to the job deedption, training given, levels of performance expected and written appraisal recorde. W e the outcome of the interview and the action to be taken If a penalty is to be impowl, have you stated it clearly, is it undcmhd, and hae the person been iuformed ofthe next stage in the p d u r e or about any right of appeal?

Follow-up afku the interview Write up your rewrd of the interview. If appropriate (in terms of the rules of your procedure and the atam of the mowlure which has been reached) a to the interview88and hisir her repmentative and 6le a copy in hie or her pereonuel record. Y o u r own detailed notes are essential even at the verbal (oral) warning 8teges. Also, carefully worded notes to the employees wneerned muet be considered, even at thin early stage, detailing what haa to be done to 'put thinga straight'. See Boxes 4.1 and 4.2.

eend kW

4 . 9 Jwfunpbof.~~nuninp 'Dear M r Jotlea R e . DbEiplinary rufding Juas l 6 It Q a matter of great mmrn to both your Dapmbental Manager and Imyealltbatitbmbemneosllllargyet~tobrbgtoyourattantion t h e n e # a o i t y f m ~ ~ . Thedied~mestingmMay14rrmnlc$ymr&Itwrftten~ andrmt.linedpradrslg~hat~laq~ofyou.nowwer,therehrur

b e m ~ ~ p ~ o v ~ t ~ p o u t ~ ~ ~ g ( S W ~ 0 f r e E o

~~)dUt.inetbs~tl~peridIunderatandthatyouda~~ht Biogupyourpra~ofgcihgkomeat lunch~,~byruaaingthe

rW~tyouabblatcifyoumo.*tinthe*mmrlsobd

lmoawhyyoucuo~toreaohthefactmywtheinthe~~. B y all acwuntr you are & e & hsalthg nud emmmd to keep your
job.

ftmnetnm~puitecleartoyouthstyour~dpoor~pine willrerrultinyourdiemiesal. I have no altarnative but b mnflrm yew Dqmtmental Manager's warningthat, ~ ~ i s a n i m m e d i a ; t e a n d ~ i m p v e m a t i n y o u r ~ , ~ a t a t ~ r t a r t ~ k a a d a t a t l u n c b puwillbegivennoticed~ l%ematterwiDberevidagaininonemonth'ItfmeandIsinsrely hope that you will take taih warpine to heart and make the necessery
e$ortbimprcroeyour~.

If you ere dinnatbfied with the dhiplhmy action taken you an a p p e a l a ~ i s r m ~ i n ~ ~ ~ l ~ t r . E t o f

( A d a S t e d t r o l n ~ 8 O W d r t o ~ ~

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OPEN BU81NE88 SCHOOL- PROFESSIONAL CERTIFICATE I N MANAGEMENT

4.2 Grievance procedures

procedures upecify e way d dealing with ~ituatioaa Whereas where empldo not fulfil managedexpactatiu~. areanrsrnednith~~dtuationThis~whentheemployerin~ waydoesmt~theemp~aeq&nthaandtharaforatheemplayee h a a grievance. All orpnhtioaa rrhould have suitable procedm fbr thin problem.
ACTIVITY 4 3 It is important that you are aware of the grievance procedures of your organisation. Make a note in your diary to approach the person in your organisation from whom you can acquire a copy. C/ou may want to refer back to Activity 4.1 and do both activities at the same time.) Return to this activity once you have read and understood your organisation's procedures. Note the key points of your organisation's grievance procedure in the space below.

BOOK 4 POWER AND MANAGING CONFLICT

Procedures for the resolution of individual grievances receive scant attention in management litera*, much more is written about discipline, and still more about a p p d and selection. Thin ia partly because a grievanca interview, by ita very nature, hae to be open-ended and comequently the pmcedure, of which it ia a part, cannot be too tightly de-.

Operating grievance procedures

If you can, reflect on a case of grievance in which you may have been involved as a member of the management team. Briefly assess the strengths and weaknesses of your procedure in the light of that experience. Omit the way in which the grievance interview was conducted; I shall go on to consider that in the next section.

Strengths:

If you have obserwd any weaknesses in your organisation5 pnxedum, they may be similar m t h o s eof othercompanies. For instance:

Too many stages the process therefore takes too long. Even large
organisations rarely have mote than about four levels of management, and it should not be necessary for the number of stages to exceed the number of levels. Too few stages in practice. It is quite common fw the fin, stage, involving the &-line supervisor; m be l& out. This is undesirable, both in term ofsupporthg the position of the supervisor and because the fvrther away h the sourn ofthe prabern, the harder it is m resolye. Lack of clarity about the situation while the grievance is being discussed. A dispute can actually be exacerbated if them is no clear agreement, or custom and practice, about the position of the aggriewd if, for example, the dispute is about a changed working practice. In some industries a grievance pmcedure will contain a status quo clause fmm which it will be clear that the new working practice should not be implemented until either the grievance has been resolved or the pmcedure has been exhausted. In others, it will be made clear that the aggrieved will be expected m comply with the change, albeit 'under ptvted, pending resolution. Neither approach is necessarily 'right', but clarity is important.

Similarly, it should be quite clear how the aggrieved goes about appealing against a decision and at what point she or he is entitled to go to external forms of arbitration, mediation or conciliation. It is generally considered that it should be a joint decision to go for arbitration, if that is to be successful, and most experienced arbitrators would not accept a referral on any other basis.

I recognise that you may not be able to change your organisation's p d u r e s . However, underatancling their deficiencies may intluence the way k which you carry them out. You may be able to soften a & undesirable effects they have. Having considered the procedural issues, I now turn to look at the way in which grievance interview8 should be conducted.

Conducting grievance interviews

l b learn h m the intarviewee the true natura of the grievance - the

apparent grievance may not be the real one. If there really is a problem, to reach agreement on a solution which both parties can guarantee. Ifthia is not possible, to ensure that the grievance is handled by the next atage in the procedure as expeditiously as poseible.

Preparing for the interview If you have the opportuuity to plan the c o w of the interview, concentrate on reviewing what you already know or surmise about the nature of the grievance, and consider ways in which you can draw out further information during the interview. Read or re-read your procedures if you have an opportunity. Be clear about your authority in relation to possible solutions, and be clear about the later etagee in the procedure in case you cannot reach agreement. Consider the timiw aspect. An interviewer you have leas control over t h i a than in any other kind of intarview. When the grievance 'arises' you need to decide whether to tackle it straight away or to defer it for a short while, perhap hoping the interviewee will have 'cooled down'.

The interview i b l i The atmosphere of a grievance interview may well be charged with emotion. The grievance, which may have built up over a long time, may be about the behaviour of another employee, a working practice, the allocation of duties, supposed unfairness of treatment, or any other situation which the person Ands intolerable at the time. There may be strong emotion0 of annoyance, anger, frustration, exasperation or even despair. You may have to face shouting, abuse or even tears1 In these situations, you cannot resolve the problem until the emotion has subsided. You may have to spend a long time just listening to interviewees, letting them 'talk themeelves out' before they calm down and bewme receptive. Do not tackle the problem or suggeat any solutions until t h i a point is reached. When the interview haa reached thia phaae, d i m the problem rationally with the interviewee. Throughout the intarview allow the interviewee to do most of the talking.
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BOOK 4 P O -

AND HANMMQ CONFLICT

Do not attempt solutions u n t i l the pmblem h been clearly de5nd and rnby~parties. Help the interviewee to auegset a aolution to the problem. Summarhe the outcome and the action to be taken.

Follow-up aftex the tnterview Write up the record ofthe interview. Vneeesllary, enaure that the next atage ofthe procedure ia activated. If you are able to t a k e corrective action within your authority, take it, and reportbackquicblytothein~wee. V&~arenotellodtofeaterorpuabeard,theJrarebLiLelyto appear to auddenly 'blow up', and if they do ariae, they are likely to be reaolved more quickly Mcat grievancecl emerge slowly and quietly in the wurm of normal working and they will only take the form of a sudden emotional 'blow up' if earlier nigm have been ignored or gone unheeded by y o u m a n ~ . A u o ~ ~ t o g r o w a n d - ~ d t e o u t o f allpmportbeanbevargooetlyandcalllleu~eeaesar~r~toworkiug
relationehip8.

4.3 A summary o f interviewing skills and techniques ORena~in~willo@aueeeedifthel&ent:iaallodto

take the diemeaim wherevex she or he wan& it to go,at leant in the early stagas. A desirable a i m here ie a free f l o w of information delivered in an atmosphere oftruut. Ae I auggestad, thin demands considerable akilla on the part ofthe c o d o r ; for example, patience, effective listening, empathy (being able to t h i n ky o d i n t o the other pernon'a situation) and a great deal ofaensitivity to what the client is M& saJrine (at least, not yet). We aaw that m q e d o n ofyour own attitudw and valuea ia vitel; you muet not jump tomncluaioMncmpre-~situatirrrminotherways.
ThesLillsofan~anmaellorarehighlyrelev~tto~many managerial activith, not the leant ofo f being diaciphmy and grievance intarviewa. We have amaided the mechauh of discipline and grhame intarviewm in the preeedins d o n , and now in conclueion we highlight certain core & s l i whicb are common to all interview. These are: lktmhg ahills (which were c o d in Book 2 h n a l C o m m u n W at ~ Work and later expanded in Section 8.1 ofthia lmoh) que~~ques(w~wereaneaedinBook2Pemnol Communiccltio~ at Work) entabliehingrapport preparation and follow-up.

Establishing rapport Whatever the type of intarview, use the early atto establish eome kind of relationship w i t h the interviewee, one which mpporta the edmnge of iutbrmation. This ia llometimes described am 'm* the right tone.Even for t h e dincipljnary inteaviewyou need to edabbh & '& a , ' i.e. that the
matteriaserioullbuttbatyouare~to~-be'8rmbut&lir'. W h e a c a m m d h g o r ~ t o a ~ i t i a a ~ t e k y o u t o

8EBBION 4 DWXPUNARYAND GRIEVANCE PROCEDURE6

communicate, not necesearily by what you nay but how you say it, that you are an understanding person and prepared to liaten to a problem.

emotionhadbuiltuptodapeatIfl~rmeoneeriesinaMplinary interview, you an the manager should consider whether t h i a is a deliberate tactic of the employee to may your judgement when clearly rules have been breached and Wplinary action neadn to be talren. Think, too, whether an eournment ofthe meeting might be appropriate.

In a primame mtuation, crying may help releaae tension, but probably indicates that the interview &odd haw taken place much earlier before

The result of a good intarview Bhouldbe a remlution of nome problem or

situation. An interview w i l l never have a positive outcome if it atarta d i n the wrong way. Give some thought to W . think, 'Am I being too too sympathetic, too easy going, too quick to wndemu, humourless, etc.?, 'What style or tone would be m& appropriate to make thin interview successhl? You w i l l soon 6nd out if you have got it wrong1 Clearly, no one approach is appropriate to all interviews. You need to be aware of the variou b e h a v i m and choose the one that seems appropriate to the interviewee, the purpose of the interview and the individual situation. When you are pmpnrhgfor an interview, think about where you w i l l wnduct it and how you want the M t u r e to be armngd. Other valuable pointem are: Have all the seating at the name level. It is eany to inntil an immediate feeling of inferhity m hacurity by placing your inkdewee in a chair wbich is lower than your own. Donottaeeyourin brvhveatoawindow.Onabrights~~gdayyouwill appear only an a dhouette againet a glaring backgmd. Conduct all intarviewa in d d e n m . If you do not have an o f I i c a of your own, find a room where you cannot be w n or overheard. Never wnduct a disciplinary interview in an open plan oface or on the factory floor. Emure that you are not disturbed.A l l telephone c a b nhould be

a&

in~~rifthinisnot~b,thetebpho~tahenoffthehookY~~
may-bveamtieeforyourk Uoentrg-interviewinp@. Ifnot,makedanOtiEBandkeqithurdy. AUow~ughtime.Itieearpririnehowm~i~lymanagemfwlthattheycan remlve a delicate b u e in a 1Bminute gap between other meetings! For a disciplinary interview, set a time and place and enaure that the interviewee knows about the annngemente. Allow an hour or so and try not to commit youraelffor the end ofthia time, a0 that you can continue if neceesarg.~~llingandgriev~intarviewsaremoredifecultanthey can oenu a t any time -'May I me you for a few minutes? or 'Have you got a moment?' My advice would be - aee the pcnsrm immediately and if it need8 more time, or you need time to think or prepare, mt up mother 1 0 interview at a mutually convenient place and time.

Attertbeintmiew,mnhe~ofwhothappeneddcarrgoataay~u p a i e t i o n ~ r f ~ ~ t h a t g o a d d r p e a k t o ~ e m m that you do M and that UL1happema within ths timetnbb you have withtbein~.rfygllhtoldamemberofyoln.t.tftD~a writtenwamhg-doitl

T h e inevitable result of this is thot inkvkiug, including the gmp&tmp

and~-upnork,t.bsalongtime-m~longerth.ntbelptaRiQn

i ~ w e ~ ~ d d ~ R ~ t g p e t d S n ~ . l a d i t I i e u t a n iswanorthin~eome~toget~*t.

A t h beginningofthirscaion we tha the rWlh and grd\niqm thayouhrvejurtrsad~~brakdfarmmdtin~Crrsdplinvy~nd grkwan~e IRW&WS, Whaf other f m d m i e w m M these M l s d tedmiqud, be urctul fa3

In the next book we discuss recruitment and selection p d u m . This is an area where these skills are vitally important. In Book 6 we look at appraisal interviews and you will see that these skills will again be appropriate. They are also useful if you ate in a selling or marketing role. The salesperson meeting a potential customer should try to create the right atmosphere, prepare, establish rappoa and follow-up. The same is true for the purchasing interview.

Summary and objectives

In this iler~on I have underlined t h e clear need f w both diaciphary aqd grkvanca pmcadures. I emphasised t h e i r fLndamental impohme to you ee a managw in developing and motivatingyour staff through being seen to imtil discipline fairly and amsinhtly and yet alrro being appmdable in ma~of~.Ihave~outliosdyourpartinthe~tionofsuch pmced~andszamiDedinaomedetailtheteehaiquesandeLillerequired for a u u w h l disciplinary and grievance intmvies. AB a result of atdying this seesion, you should now: Be wnvereant with your organisation's disciplinary rules and procedures and IikewifIe grievance pmcedure~. Underatmd your role and level of authoriw in the implementation of ~pliwandgriewncs~ure4withinyour~~ a Beaaarethettlk%reiealnsi~bcmaplayment~relatiugto diaciplineandgrievance. Bepreparedtoimphwntdiaci~andgrievaneepmcedure8,if
oeca~ery,Winith~own~.

Be able to explain the principles ofmuud dinciphary and grievance

intallriew11.

BOOK 4 POWER AND WAGING CONFLICT

Answers to SAQs
SAQ 1.l

(a) T b e m e m b e r r o f t h e ~ ~ u p r e e m t o t h i n l r t h P t P . m d o e s ~ h a v e theauthoritytodetermimwhatdthcyshoPldbedoing. (b) P a m a p p e a r n t o p d a r ~ ~ a m s a n s o f i n d u e n c i n g t h e t m i n i n g group,htobvidyf~~t,whwtbisf3s,hhu~authorityto de.hdM lunr prioraim3 for the group. (c) It in not clear from the -plc whether the board hna authority m whethe-rithnabeendelegatedtothestatf~mtoPam. (d) Gmn the ambiguity over b ' s pmition, she could haw gone to the bosrd6rnttodarifghsr~tiuQ

(a) Intlucmm in the pocesr ofdectiug tha .etioas m thoughtr ofathem. Power k the ability to influence othena. And authority ir the right to exmciS2)power. (b) Power is not jurt a m a t h of pwition m a u t h m , &re other mutea of power w e r e identi5ed - control ofrewnncacl, control ofinfmrmtim, awertbe, mdal ammctiona and p w w d power. Newrthelcrsl, position L v q i m ~ t b e a m i t o f b n @ ~ ~ t o m m e o C t h e ~ wunmaofpvwerRleh~thaeontrolofresoumssand~tjonand social e m . (C) Ekeryone hu rome power, evem if it in just the power that a m mh other people'a dependence on your goodwill or labour, which yrm may ~ ~ l d . O f ~ , p o w e r d o e a v u y ~ t l y ~ p ~ a n d a o
Prade5ni~mors~thMlltlmra.

(d) W h a t d o r m r o f p w e r a n d i n t t u e n a t a r e ~ ~ ~ w i l l v a r y .ecoldinetothevnl~~and~thatueheldwithinaputitulv

helpedto&you~awuedh~erent-dorponerthntyrm
cap draw on and the rorts ofinfiuence atratagh that you uw. (0 Y o u r staff hold eq&ationa .bout the nay that you will memap and

lead. I n addition,you m u s t be ..mueofthe dilanmu r m d i n g tbe abuae of negative poner. Finally, you muat be aware dtha dilemma that

a d i c t s o f ~ a n c a ~ .
SAQ 2.1

(1) (a)Wm-lose; (b)win-win, (c) win-1088; (d)win-win. (2) ( a ) I f t h e v i e n a m ~ @ i t n o u l d b e M d t t o t r & this crmflict i n t o a win-win situation. H o w e v e r , if the rt.ff objected only to certain anpocta ofcontracthg with tha gwemment, it might have h n

powibletodevelopapolicyofbiddhgfwcrm~thatmet~
Bd

OPEN BUBMEBB W O O L O N &

CERFIPlCATE M M A N -

c r i t e r i a .Thin might have allowed both aid- to w i n .The dangerm are that ntafFmotivation and commitment might be dameged or # n t the d c t

will^.

(c)ItLmttoseehonthircsnb-intoaaia-nin situation, dean more apace in aquired. A compromise might have been pom?.iblewhere both sides lost lrome apace.
SAQ 2 3

(a) The main ntrategs used here h arbitration. The manager also appears to beuniug~explainingluwthedeciaioninbanedonthe Orgmination'a best interestr. (b) The main ntrat8#ybeing used in separatian, in thin cane by getting the two m of ntaff to work at different timw. There in alno a hint of eoereionwiththethreat ddkiplinaryactioa (c) T b e ~ D i r e e t o r i n b e i l l g ~ t o m e d i a t e b e t w e r r n t h e m - .
SAQ 2.3

(a) Thisiacar#dia~tivebPgainiaeinrrhichthe@(ucouldc~le upwithailolutionnherebothgclined. (b) Thininacaredtryingtoimpmvetheproceclaesof~~tionmthat r e @ d and local ntaE had a better underntanding of each other's views and work Thin prooass alno dowm for the ponnibility ofregiod and local sktridenti&ing common goalr and d e d o p h g more mutually acceptable
roles.

Thwe lstters have many dmngth:

The prePiaur ntagea ddireiplinarg action are clearly s t a t e d . Evidanm, in the form ofmmdn, hnn been attached. The employw'n dutien, which ue in quention, are clearly net out. T h e employea in told what he mu&Q, and the requid thenale. The employee in told the coulpd of future actions ebould he not improve.

References

Acknowledgements
The B600 Coum Team were asaieted by comments and contributions f r o m
VBronique Ambrosini, Arthur Billabany, Richard Crombet-Beolens, Pam McNay, Chefiy Martin, Harry Mole and Hugh Morley,
Gratedid acknowledgementis made to the following sources for permhion to reproduce material in this b o o k

Text
Box 1.1:adapted h m Stott, C. (1988) The third career of John Iiarvey Jones', The Sunday !&legmph Colour Supplement, 10th Januarg 1988, @ Catherine Stott 1988; Box 1.6:The dilemma of collective decision making', The Guardian, 13th March 1991; Box 4.1: adapted from Croner'a Guide to Discipline (1982), Croner Publicatiom Ltd.

p.11: ICI; p.26 @l993 Henry R. M a r t i n . Originally published in the H a d Business Review; p. 29: Sidney Harria and H a r u a n i B u s W Review, Vol. 71, 1993; p.47: Leo Cullum and Harvard Buainess Review, Vol. 71,1993.