Introduction
DISPLAY 25.3 Performance Deficiency Coaching Scenario
initially appears to have no basis. The manager might ask the following questions: Was the rule clear? Did this employee know that he or she was breaking a rule? Is culture a factor in this rule breaking? Has this employee been involved in a situation like this before? Was he or she disciplined for this behavior? What was his or her response to the corrective action? How serious or potentially serious is the current problem or infraction? Who else was involved in the situation? Does this employee have a history of other types of disciplinary problems? What is the quality of this employee’s performance in the work setting? Have other employees in the organization also experienced the problem? How were they disciplined? Could there be a problem with the rule or policy? Were there any special circumstances that could have contributed to the problem in this situation? What disciplinary action is suggested by organization policies for this type of offense? Has precedent been established? Will this type of disciplinary action keep the infraction from recurring? The wise manager will ask all these questions so that a fair decision can be reached regarding an appropriate course of action.
Middaugh (2015) agrees, noting that managers must isolate the source of the true problem before responding to employees who are unproductive or inefficient and determine if the problem is related to training and development. Do employees know how to do their jobs? Did they complete a detailed orientation program? Do they know policies and procedures? Have their competencies been confirmed through checkoff?
Were they hired having the correct credentials/education for the job? Middaugh suggests that if the answer is
“yes” to all of these questions, then training is not the issue. If the answer is “no,” employees must be retrained or transferred to other jobs which they are trained to perform.
Another strategy that the manager should use is to always consult with either a superior or the Human Resources department before dismissing an employee. Most organizations have very clear policies about which actions constitute grounds for dismissal and how that dismissal should be handled. Business and Legal Resources (2016) note that employee lawsuits have reached an all-time high and are still rising but caution that avoiding litigation by retaining an underperformer is not the answer.
Disciplinary problems, if unrecognized or ignored, generally do not go away; they only get worse.
To protect themselves from charges of willful or discriminatory termination, managers should carefully document the behavior that occurred and any attempts to counsel the employee. “The accuracy of your documentation can mean the difference between time in the courtroom and a good, clean break from a poor employee. Especially important are your performance evaluations and any disciplinary memos” (Business and Legal Resources, 2016, para. 3).
Managers also must be careful not to discuss with one employee the reasons for discharging another employee or to make negative comments about past employees, which may discourage other employees or reduce their trust in the manager.
Performance Deficiency Coaching
Performance deficiency coaching is another strategy that the manager can use to create a disciplined work environment. This type of coaching may be ongoing or problem-centered. Problem-centered coaching is less spontaneous and requires more managerial planning than ongoing coaching. In performance deficiency coaching, the manager actively brings areas of unacceptable behavior or performance to the attention of the employee and works with him or her to establish a plan to correct deficiencies. Because the role of a coach is less threatening than that of an enforcer, the manager becomes a supporter and helper. Performance deficiency coaching helps employees, over time, to improve their performance to the highest level of which they are capable. As such, the development, use, and mastery of performance deficiency coaching should result in improved performance for all. The scenario depicted in Display 25.3 is an example of performance deficiency coaching.
Coach: I am concerned that you have been regularly coming into report late. This interrupts the other employees who are trying to hear report and creates overtime because the night shifts must stay and repeat report on the patients you missed. It also makes it difficult for your modular team members to prioritize their plan of care for the day if the entire team is not there and ready to begin at 07 AM. Why is this problem occurring?
Employee: I’ve been having problems lately with an unreliable babysitter and my car not starting. It seems like it’s always one thing or another, and I’m upset about not getting to work on time, too. I hate starting my day off behind the eight ball.
Coach: This hospital has a long-standing policy on attendance, and it is one of the criteria used to judge work performance on your performance appraisal.
Employee: Yes, I know. I’m just not sure what I can do about it right now.
Coach: What approaches have you tried in solving these problems?
Employee: Well, I’m buying a new car, so that should take care of my transportation problems. I’m not sure about my babysitter, though. She’s young and not very responsible, so she’ll call me at the last minute and tell me she’s not coming. I keep her, though, because she’s willing to work the flexible hours and days that this job requires, and she doesn’t charge as much as a formal daycare center would.
Coach: Do you have family in the area or close friends you can count on to help with childcare on short notice?
Employee: Yes, my mother lives a few blocks away and is always glad to help, but I couldn’t count on her on a regular basis.
Coach: There are employment registry lists at the local college for students interested in providing childcare. Have you thought about trying this option? Often, students can work flexible hours and charge less than formal daycare centers.
Employee: That’s a good idea. In fact, I just heard about a childcare referral service that also could give me a few ideas. I’ll stop there after work. I realize that my behavior has affected unit functioning, and I promise to try to work this out as soon as possible.
Coach: I’m sure these problems can be corrected. Let’s have a follow-up visit in 2 weeks to see how things are going.
LEARNING EXERCISE
25.4
Writing a Performance Deficiency Coaching Plan
Y
ou are the professional staff coordinator of a small, outpatient urgent care clinic. Historically, the clinic is busiest on weekend evenings. Many also come to the clinic on weekends to take care of nonemergency medical needs that were not addressed during regular physician office hours. Jane has been an RN at the clinic since it opened 2 years ago. She is well liked by all the employees and provides a sense of humor and lightheartedness in what is usually a highly stressful environment.Jane has a reputation for being a “party animal.” She is known to begin partying after work on Friday night and close down the bars Saturday morning. During the last 3 months, Jane has called in sick five of the seven Saturday evenings that she was scheduled to work. The other employees have worked
understaffed on what is generally the busiest night of the week, and they are becoming angry. They have asked you to talk to Jane or to staff an additional employee on those Saturday evenings that Jane is assigned to work.
A S S I G N M E N T:
You have decided to begin performance deficiency coaching with Jane. Write a possible coaching scenario that includes the following:
The problem stated in behavioral terms
An explanation to the employee of how the problem is related to organizational functioning A clear statement of the possible consequences of the unwanted behavior
A request for input from the employee Employee participation in the problem solving A plan for follow-up on the problem
Disciplining the Unionized Employee
It is essential that all managers be fair and consistent in disciplining employees regardless of whether a union is present. The presence of a union does, however, usually entail more procedural, legalistic safeguards in administering discipline and a well-defined grievance process for employees who believe that they have been disciplined unfairly. If the employee is covered by a collective bargaining agreement, managers should refer to the applicable collective negotiations agreement to ascertain the requirements for notification of the union (Rutgers University Human Resources, n.d.). Usually, the manager of nonunionized employees has greater latitude in selecting which disciplinary measure is appropriate for a specific infraction. Although this gives the manager more flexibility, discipline among employees may be inconsistent.
On the other hand, unionized employees generally must be disciplined according to specific, preestablished steps and penalties within an established time frame. For example, the union contract may be very clear that excessive unexcused absences from work must be disciplined first by a written reprimand, then a 3-day work suspension, and then termination. This type of discipline structure is generally fairer to the employee but allows the manager less flexibility in evaluating each case’s extenuating circumstances.
Another aspect of discipline that may differ between unionized and nonunionized employees is following due process in disciplining union employees. Due process means that management must provide union employees with a written statement outlining disciplinary charges, the resulting penalty, and the reasons for the penalty. Employees then have the right to defend themselves against such charges and to settle any disagreement through formal grievance hearings.
Another difference between unionized and nonunionized employee discipline lies in the burden of proof, which typically is the responsibility of the employee without union membership but is the responsibility of the manager of the employee who belongs to a union. This means that managers who discipline union employees must keep detailed records regarding misconduct and counseling attempts.
In disciplinary situations with nonunionized employees, the burden of proof typically falls on the employee. With union employees, the burden of proof for the wrongdoing and need for subsequent discipline falls on management.
Another common difference between unionized and nonunionized employees is that most nonunion employees are classified as at-will, meaning that they are subject to dismissal “at the will” of the employer.
The at-will doctrine, which is applicable in many states, permits an employer to terminate employment for any or no reason and at the discretion of the supervisor. In states that do not subscribe to the employment-at-will doctrine or in organizations that have union representation for employees, employers must have good and legal cause to dismiss an employee.
It must be noted, however, that even when the employment-at-will doctrine is applicable, there are numerous exceptions, and an employer must be knowledgeable of each exception. Such exceptions where at- will dismissal would not apply might include when employment is being terminated based on membership in a protected legal group such as race, sex, pregnancy, national origin, religion, disability, age, or military status.
The contract language used by unions regarding discipline may be quite specific or quite general. Most contracts recognize the right of management to discipline, suspend, or dismiss employees for just cause. Just cause can be defined as having appropriate rationale for the actions taken. For just cause to exist, the manager must be able to prove that the employee violated established rules, that corrective action or penalty was warranted, and that the penalty was appropriate for the offense. These contracts also generally recognize the right of the employee to submit grievances when he or she believes that these actions have been taken unfairly or are discriminatory in some way.
Managers are responsible for knowing all union contract provisions that affect how discipline is
administered on their units. Managers also should work closely with others employed in human resources or personnel positions in the organization. These professionals generally prove to be invaluable resources in dealings with union employees.
The Disciplinary Conference
When coaching is unsuccessful in modifying problem behavior, the manager must take more aggressive steps and use more formal measures, such as a disciplinary conference. After thoroughly investigating an
employee’s offenses, managers must confront the employee with their findings. This occurs in the form of a disciplinary conference. The following steps are generally part of the disciplinary conference.
Reason for Disciplinary Action
Begin by clearly specifying why the employee is being disciplined. Focus on measurable behaviors and keep your concerns free of non–work-related matters (Rutgers University Human Resources, n.d.). The manager must not be hesitant or apologetic about the need for discipline because the role of the manager includes authority. Despite the assignment of authority, novice managers, however, often feel uncomfortable with the disciplinary process and may provide unclear or mixed messages to the employee regarding the nature or seriousness of a disciplinary problem. A major responsibility in this role is evaluating employee performance and suggesting appropriate action for improved or acceptable performance.
In the disciplinary conference, managers must assume the authority given to them by their role.
Employee’s Response to Disciplinary Action
Give the employee the opportunity to explain why the rule was not followed. Allowing employees feedback in the disciplinary process ensures them recognition as human beings. It also reassures them that your ultimate goal is to be fair and promote their growth. Ask the employee whether he or she believes the performance problem or behavioral issue is resolvable and whether he or she has suggestions for improvement (Mayhew, 2016).
Rationale for Disciplinary Action
Explain the disciplinary action that you are going to take and why you are going to take it. Although the manager must keep an open mind to new information that may be gathered in the second step, preliminary assessments regarding the appropriate disciplinary action should already have been made. This discipline should be communicated to the employee. The employee who has been counseled at previous disciplinary conferences should not be surprised at the punishment, as it should have been discussed at the last conference.
Clarification of Expectations for Change
Present a performance improvement plan (PIP) to be sure employee expectations for remediation are clear.
This plan should include the expected behavioral change as well as the steps needed to achieve this change.
Include times, amounts, and numbers as needed so that expectations are specific (Mooney, 2016). Be clear whether the employee and the supervisor share responsibility for improving the employee’s work performance (Mayhew, 2016). For example, if the employee’s poor performance is based on not having proper training or skills, share what resources will be provided to help the employee improve.
Also explain the consequences of failure to change. Again, do not be apologetic or hesitant; otherwise, the employee will be confused about the seriousness of the issue. Because they may lack self-control, employees who have repeatedly broken rules need firm direction. It must be very clear to the employee that timely follow-up will occur.
Agreement and Acceptance of Action Plan
Get agreement and acceptance of the plan. Give support and let the employee know that you are interested in him or her as a person. Remember, too, that the leader-manager administers discipline to promote employee growth rather than to impose punishment. Although the expected standards must be very clear, leaders impart a sense of genuine concern for and desire to help the employee grow. This approach helps the employee to recognize that the discipline is directed at the offensive behavior and not at the individual. The leader must be cautious, however, not to relinquish the management role in an effort to nurture and counsel. The leadership role is to provide a supportive environment and structure so that the employee can make the necessary changes.
The Environment for Discipline
Besides understanding what should be covered in the disciplinary conference, the leader must be sensitive to the environment in which discipline is given. Although the employee must receive feedback about his or her rule breaking or inappropriate behavior as soon as possible after it has occurred, the manager should
implement discipline privately, never in front of patients or peers. If more than an informal admonishment is required, the manager should inform the employee of the unacceptable action and then schedule a formal disciplinary conference later.
All discipline, even informal admonishments, should be conducted in private.
Timing and Conference Length
All formal disciplinary conferences should be scheduled in advance at a time agreeable to both the employee and the manager. Both will want time to reflect on the situation that has occurred. Allowing time for reflection should reduce the situation’s emotionalism and promote employee self-discipline because employees often identify their own plan for keeping the behavior from recurring.
In addition to privacy and advance scheduling, the length of the disciplinary conference is important. It should not be so long that it degenerates into a debate nor so short that both the employee and the manager cannot provide input. If the employee seems overly emotional or if great discrepancies exist between the manager and the employee’s perceptions, an additional conference can be scheduled. Employees often need time to absorb what they have been told and to develop a plan that is not defensive. In addition, conducting disciplinary conferences can be as stressful for the manager as it is for the employee, especially when the unit manager is relatively new or inexperienced in this role.
Closure
On ending the disciplinary conference, provide the employee with a copy of the disciplinary action and place a copy of the documentation in the personnel file (Mayhew, 2016). Inform the employee about company policy concerning disciplinary action and the length of time disciplinary action forms remain in an employee’s file before they can be removed (Mayhew, 2016).
The Termination Conference
When it is apparent that a progressive disciplinary approach has failed and that the necessary change in behavior has not been achieved, managers often need to terminate the employee (Rutgers University Human Resources, n.d.). At this point, the disciplinary conference becomes a termination conference. Although many of the principles are the same, the termination conference differs from a disciplinary conference in that planning for future improvement is eliminated. The following steps should be followed in the termination conference:
1. Calmly state the reasons for dismissal. The manager must not appear angry or defensive. Although managers may express regret that the outcome is termination of employment, they must not dwell on this or give the employee reason to think that the decision is not final. The manager should be prepared to give examples of the behavior in question.
2. Explain the employment termination process. State the date on which employment is terminated as well as the employee’s and organization’s role in the process.
3. Ask for employee input. Termination conferences are always tense; raw, spontaneous, emotional reactions are common. Listen to the employee but do not allow yourself to be drawn emotionally into his or her anger or sorrow. Always stay focused on the facts of the case and attempt to respond without reacting.
4. End the meeting on a positive note, if possible. The manager should also inform the employee what, if any, references will be supplied to prospective employers. Finally, it is usually best to allow the employee who has been dismissed to leave the organization immediately. If the employee continues to work on the unit after dismissal has been discussed, it can be demoralizing for all the employees who work on that unit.
Grievance Procedures
Growth can only occur when employees perceive that feedback and discipline are fair and just. When employees and managers perceive “fair” and “just” differently, the discrepancy can usually be resolved by a more formal means called a grievance procedure. The grievance procedure is essentially a statement of wrongdoing or a procedure to follow when one believes that a wrong has been committed. This procedure is not limited to resolving discipline discrepancies; employees can use it any time they believe that they have not been treated fairly by management. This chapter, however, focuses specifically on grievances that result from the disciplinary process. Most grievances or conflicts between employees and management can be resolved informally through communication, negotiation, compromise, and collaboration. Generally, even informal resolution has well-defined steps that should be followed.
Formal Process
If the employee and management cannot resolve their differences informally, a formal grievance process begins. The steps of the formal grievance process are generally outlined in all union contracts or
administrative policy and procedure manuals. Generally, these steps include the progressive lodging of formal complaints up the chain of command. If resolution does not occur at any of these levels, a formal hearing is usually held. A group of people is impaneled—much in the same way as a jury—to make a determination of what should be done. Such groups are often at risk for favoring the individual employee over the all-powerful institution. This tendency reinforces the need for the manager to have clear, objective, and comprehensive written records regarding the problem employee’s behavior and attempts to counsel.