Rules & Procedures and dealing with breaches:
This guide is specifically related to creating an environment to reduce the likelihood of rule and procedure breaches by team members and also the best way to deal with disciplinary issues.
Practical Tips
1. Reinforce the Rules: Ensure you have an employee handbook, containing rules and procedures and that everyone gets one. Use positive posters as rule reminders (written and illustrated) as well as reminder meetings to discuss procedures and problems; to help team members overcome the issues that prevent them from complying with your rules and expectations. Whilst ignorance of the rules is no excuse it is still better to ensure that are aware of them, rather than just assuming.
2. Positive ethos: Set a positive ethos in the team and organisation from the outset. As the manager you are the guardian of the rules. It is not “Do as I say” but “Do as I do!” In this way people are more likely to respect you and also feel an obligation to do the same as you. As much as you may like to think “Hey I am the boss I don’t need to abide by the rules if I don’t want to!” In reality that just breeds resentment and disrespect both of which are potentially fatal for a Manager.
3. Team Engagement: Involve the team in the development of rules in the first place. Hold a team meeting and get them all to write what they feel are issues that affect the company and what they think should be done about it. In a group environment encourage peoples’ opinions and ideas. It is much easier to get adults to engage with rules that they were personally involved in creating. They will be more likely to accept ownership and it is much more difficult for them to justify their actions in breaching their own rules!
4. Track Breaches of Procedure: It is vital that you have an accurate and objective system for tracking, monitoring and evaluating breaches of procedure. It is no good having a team member who is constantly late or regularly breaching rules and procedures and no action is taken. It is important to deal with every breach immediately, however minor and record the issue and how it was dealt with. All companies should have a rigid procedure for dealing with discipline problems and this should include a set system of dealing with problems. Starting with the “quick friendly chat” and leading all the way to written warnings and formal proceedings. Not bothering to record problems, however small, is a big mistake. For the sake of the team dynamic and cohesion, rules breaches should be dealt with quickly, fairly and equitably. Recording problems will also highlight areas that produce regular breaches of rules and will allow a systematic review of those procedures to see if there may be an underlying problem.
5. Procedural Hierarchy: Have a number of levels of procedural response to breaches of rules and make sure that these are used and followed exactly. It is important for people to understand the process and that it will be followed. However, also remember that your role is to rectify the problem and use these procedures to help that process and not simply to escalate it to the next level! Obviously in serious matters, steps in the procedure can be jumped.
6. Communicate: Make sure that you have systems in place to enable the sharing of information with team members and for team members to go and discuss their problems. Hold regular team meetings and open forum sessions. The more open the opportunities to discuss problems the less likely breaches of procedure will occur in the first place and the less accepting team members will be of those who do.
7. Do it in Private: Don’t shout across the office or showroom or approach the individual in a public area, take the conversation to a private office or area away from other people. Discussing issues in the view and hearing of others is not only unprofessional and creates a poor impression of the company and you as a Manager but will also embarrass the individual, which will create resentment and may also illicit sympathy from other team members.
8. Stay calm: Do not get angry. Remember, especially in a confrontational situation, that as the Manager you need to remain calm. Getting angry means you will lose focus and lose the upper hand in the situation.
9. Personal space: For most, personal space is approximately arms length. However, it does vary between cultures. The point is, not to invade the person’s intimate space. Again we are trying to avoid the perception of confrontation.
10. Verbal / Non Verbal: Your voice should be at the volume and intonations you expect from the employee, as should your gestures (open and relaxed, not rigid and forceful). A loud and aggressive voice/ attitude from you will either result in a loud and aggressive response or the employee closing in and becoming non responsive (both create feelings of intimidation, potentially fear, unfairness and resentment). Treat people as you would want to be treated and remember the purpose of the meeting is to find out why the problem is occurring and resolve the issue. To do this people have to be in a mental state of willingness to accept responsibility and ownership for correcting their attitudes/actions.
11. Non Judgmental environment: To create a feeling of fairness and justice, it is better, initially, not to handle discussion across a desk. Instead a more relaxed sitting arrangement, with no barriers between the parties will create a more equitable environment and will make the individual feel more like an adult and not a school pupil about to get told off by the headmaster! Remember the goal is to find out what is going wrong and get a positive solution. Whilst simply “telling someone off” from your office chair may make you feel better, studies have proven it does not actually work and can actually have the exact opposite affect. Having said this, there are times, where a problem continues to occur despite using all the right methods and procedures, that a more formal and regimented meeting can send a very powerful message to the team member that they are now in very serious trouble and need quickly and decisively to correct the problem. However, this message will be all the more powerful when delivered in this way, due to the following of the methods and processes highlighted here, beforehand.
12. Refocus: Don’t be verbally misled by arguing team members, who try to redirect the conversation away from the matter at hand. Refocus them on the issue by using a statement of understanding ('Yes, I see, but that is not the point; we need to focus on...')
13. Positive Negative Positive Sandwich: When discussing a problem with a team member it is best to start the meeting by discussing something positive that has happened, either related to the individual, the team or the organisation. Then move on to discuss the issue at hand and agree the remedial action and then end the meeting with a positive message, to rebuild the team members self belief and confidence. Simply confirming to them that they are a valued member of the team and that you feel they have great potential and are confident they can overcome the issue at hand can be enough.
14. Personal Improvement Contract: If you are having a problem getting through to the employee, a simple process to enable the team member to reconsider their actions and to decide on a more appropriate course of action next time is to get them to write down why their action was wrong and what they intend to do about it. Then get them to sign it and you both keep a copy. This helps them to consciously accept their mistakes and accept responsibility for putting it right.
15. Proximity praise: Rather than just giving random praise (which is very important and effective), instead try to spot the off-task staff member and make sure you praise another staff member nearby, who is on task and complying. This is far more positive than simply noting the wrong behaviour or just praising on its own. Always remember the power of “peer” pressure. However do not make it a “why can’t you be like him” as this can create friction within the team.
15. Non-verbal language: Be aware that more than 60% of all communication is non-verbal. What is your body language saying? There is no point encouraging someone, whilst you are sending an SMS!
16. Antiseptic bounce: This is a classic strategy used in education. We all know that generally the only time a team member will get to see the GM or Director is if they have done something wrong! However, instead, send the target team member to a senior colleague with a note or message. The note says, ‘Please tell (team members name) “Well done (explain why)” and send him or her back!’ This works particularly well where a team member has had problems before, is improving and you want to show you have noticed and positively reinforce the message.
And finally…. Give praise where praise is due. It is important that team members feel valued and appreciated and don’t feel that the only time you want to speak to them is when they have done something wrong!
This guide is specifically related to creating an environment to reduce the likelihood of rule and procedure breaches by team members and also the best way to deal with disciplinary issues.
Practical Tips
1. Reinforce the Rules: Ensure you have an employee handbook, containing rules and procedures and that everyone gets one. Use positive posters as rule reminders (written and illustrated) as well as reminder meetings to discuss procedures and problems; to help team members overcome the issues that prevent them from complying with your rules and expectations. Whilst ignorance of the rules is no excuse it is still better to ensure that are aware of them, rather than just assuming.
2. Positive ethos: Set a positive ethos in the team and organisation from the outset. As the manager you are the guardian of the rules. It is not “Do as I say” but “Do as I do!” In this way people are more likely to respect you and also feel an obligation to do the same as you. As much as you may like to think “Hey I am the boss I don’t need to abide by the rules if I don’t want to!” In reality that just breeds resentment and disrespect both of which are potentially fatal for a Manager.
3. Team Engagement: Involve the team in the development of rules in the first place. Hold a team meeting and get them all to write what they feel are issues that affect the company and what they think should be done about it. In a group environment encourage peoples’ opinions and ideas. It is much easier to get adults to engage with rules that they were personally involved in creating. They will be more likely to accept ownership and it is much more difficult for them to justify their actions in breaching their own rules!
4. Track Breaches of Procedure: It is vital that you have an accurate and objective system for tracking, monitoring and evaluating breaches of procedure. It is no good having a team member who is constantly late or regularly breaching rules and procedures and no action is taken. It is important to deal with every breach immediately, however minor and record the issue and how it was dealt with. All companies should have a rigid procedure for dealing with discipline problems and this should include a set system of dealing with problems. Starting with the “quick friendly chat” and leading all the way to written warnings and formal proceedings. Not bothering to record problems, however small, is a big mistake. For the sake of the team dynamic and cohesion, rules breaches should be dealt with quickly, fairly and equitably. Recording problems will also highlight areas that produce regular breaches of rules and will allow a systematic review of those procedures to see if there may be an underlying problem.
5. Procedural Hierarchy: Have a number of levels of procedural response to breaches of rules and make sure that these are used and followed exactly. It is important for people to understand the process and that it will be followed. However, also remember that your role is to rectify the problem and use these procedures to help that process and not simply to escalate it to the next level! Obviously in serious matters, steps in the procedure can be jumped.
6. Communicate: Make sure that you have systems in place to enable the sharing of information with team members and for team members to go and discuss their problems. Hold regular team meetings and open forum sessions. The more open the opportunities to discuss problems the less likely breaches of procedure will occur in the first place and the less accepting team members will be of those who do.
7. Do it in Private: Don’t shout across the office or showroom or approach the individual in a public area, take the conversation to a private office or area away from other people. Discussing issues in the view and hearing of others is not only unprofessional and creates a poor impression of the company and you as a Manager but will also embarrass the individual, which will create resentment and may also illicit sympathy from other team members.
8. Stay calm: Do not get angry. Remember, especially in a confrontational situation, that as the Manager you need to remain calm. Getting angry means you will lose focus and lose the upper hand in the situation.
9. Personal space: For most, personal space is approximately arms length. However, it does vary between cultures. The point is, not to invade the person’s intimate space. Again we are trying to avoid the perception of confrontation.
10. Verbal / Non Verbal: Your voice should be at the volume and intonations you expect from the employee, as should your gestures (open and relaxed, not rigid and forceful). A loud and aggressive voice/ attitude from you will either result in a loud and aggressive response or the employee closing in and becoming non responsive (both create feelings of intimidation, potentially fear, unfairness and resentment). Treat people as you would want to be treated and remember the purpose of the meeting is to find out why the problem is occurring and resolve the issue. To do this people have to be in a mental state of willingness to accept responsibility and ownership for correcting their attitudes/actions.
11. Non Judgmental environment: To create a feeling of fairness and justice, it is better, initially, not to handle discussion across a desk. Instead a more relaxed sitting arrangement, with no barriers between the parties will create a more equitable environment and will make the individual feel more like an adult and not a school pupil about to get told off by the headmaster! Remember the goal is to find out what is going wrong and get a positive solution. Whilst simply “telling someone off” from your office chair may make you feel better, studies have proven it does not actually work and can actually have the exact opposite affect. Having said this, there are times, where a problem continues to occur despite using all the right methods and procedures, that a more formal and regimented meeting can send a very powerful message to the team member that they are now in very serious trouble and need quickly and decisively to correct the problem. However, this message will be all the more powerful when delivered in this way, due to the following of the methods and processes highlighted here, beforehand.
12. Refocus: Don’t be verbally misled by arguing team members, who try to redirect the conversation away from the matter at hand. Refocus them on the issue by using a statement of understanding ('Yes, I see, but that is not the point; we need to focus on...')
13. Positive Negative Positive Sandwich: When discussing a problem with a team member it is best to start the meeting by discussing something positive that has happened, either related to the individual, the team or the organisation. Then move on to discuss the issue at hand and agree the remedial action and then end the meeting with a positive message, to rebuild the team members self belief and confidence. Simply confirming to them that they are a valued member of the team and that you feel they have great potential and are confident they can overcome the issue at hand can be enough.
14. Personal Improvement Contract: If you are having a problem getting through to the employee, a simple process to enable the team member to reconsider their actions and to decide on a more appropriate course of action next time is to get them to write down why their action was wrong and what they intend to do about it. Then get them to sign it and you both keep a copy. This helps them to consciously accept their mistakes and accept responsibility for putting it right.
15. Proximity praise: Rather than just giving random praise (which is very important and effective), instead try to spot the off-task staff member and make sure you praise another staff member nearby, who is on task and complying. This is far more positive than simply noting the wrong behaviour or just praising on its own. Always remember the power of “peer” pressure. However do not make it a “why can’t you be like him” as this can create friction within the team.
15. Non-verbal language: Be aware that more than 60% of all communication is non-verbal. What is your body language saying? There is no point encouraging someone, whilst you are sending an SMS!
16. Antiseptic bounce: This is a classic strategy used in education. We all know that generally the only time a team member will get to see the GM or Director is if they have done something wrong! However, instead, send the target team member to a senior colleague with a note or message. The note says, ‘Please tell (team members name) “Well done (explain why)” and send him or her back!’ This works particularly well where a team member has had problems before, is improving and you want to show you have noticed and positively reinforce the message.
And finally…. Give praise where praise is due. It is important that team members feel valued and appreciated and don’t feel that the only time you want to speak to them is when they have done something wrong!
