Chapter 15: Employee Rights and Responsibilities
Conducting Work-Related Investigations
Workplace investigations can be conducted by internal or external personnel. Often,
HR staff and company security personnel lead internal investigations. Until recently,
investigation or getting their permission.
Workplace investigations are frequently conducted using technology. This allows
employers to review e-mails, access computer logs, conduct video surveillance, and
use other investigative tactics. The following best practices should be used when
conducting workplace investigations:
• Develop a good working plan that guides how the company should respond to
crises before they occur.
• Specify whether HR or another party (i.e., an attorney or accountant) will
HR Ethics: Proper Investigations and Whistle-Blowing Reduce Concerns
about Misconduct
The French car manufacturing company Renault recently terminated three
managers that were suspected of corporate espionage. These individuals were
Having a sound business process in place that helps internal investigations is one
critical step organizations must take to minimize risk and security concerns.
Another important step involves helping employee blow the whistle on
wrongdoing so that problems can be indentified before they become serious. In the
United States, the Dodd-Frank Wall-Street Reform and Consumer Protection Act
provides additional protection and incentives to employees who choose to blow
Chapter 15: Employee Rights and Responsibilities
Employee Theft and Fraud
A problem faced by employers is employee theft of property and vital company
secrets. White-collar theft through embezzlement, accepting bribes, and stealing
company property is also a concern.
Honesty and Polygraph Tests
Pencil-and-paper honesty tests are alternatives to polygraph testing. These tests are
widely used, particularly in the retail industry and others. The Employee Polygraph
C. Substance Abuse and Drug Testing
Employee substance abuse and drug testing have received a great deal of attention.
Concern about substance abuse at work is appropriate, given that absenteeism,
Chapter 15: Employee Rights and Responsibilities
American with Disabilities Act and Other Laws
The American Disabilities Act (ADA) specifies that alcoholism is a disability, but
that dependency on illegal drugs is not. However, someone who currently recovering
Drug-Free Workplace Act of 1988
The U.S. Supreme Court has ruled that certain drug-testing plans do not violate the
Constitution. Private-employer programs are governed mainly by state laws, which
Drug Testing and Employee Rights
Unless federal, state, or local law prohibits testing, employers have a right to require
applicants or employees to submit to a drug test. Preemployment drug testing is
widely used. When employers conduct drug testing of current employees, they
generally use one of three policies:
• Random testing of everyone at periodic intervals
• Testing only in cases of probable cause
• Testing after accidents
V. Human Resource Policies, Procedures, and Rules
Chapter 15: Employee Rights and Responsibilities
HR policies, procedures, and rules greatly affect employee rights and discipline. Where
there is a choice among actions, policies act as general guidelines that help focus those
organizational actions. Policies are general in nature, whereas procedures and rules are
specific to the situation.
A. Employee Handbooks
An employee handbook can be an essential tool for communicating information about
workplace culture, benefits, attendance, pay practices, safety issues, and discipline. The
handbooks are sometimes written in a formal legalistic fashion, but need not be. More
Legal Considerations and Best Practices
The courts use employee handbooks against employers in lawsuits by charging a
broken “implied” contract. A sensible approach is to first develop sound HR policies
and employee handbooks to communicate them, and then have legal counsel review
the language contained in the handbooks.
Chapter 15: Employee Rights and Responsibilities
the firm to better communicate standards to workers. Handbooks should be
customized to fit a company’s current situation instead of being too generalized.
Also, the more personalized, easy-to-understand, and well-organized (with many
headings/subheadings) a handbook is, the more likely it will be accepted and
To communicate and discuss HR information, a growing number of firms are
distributing employee handbooks electronically using an intranet, which enables
employees to access policies in employee handbooks at any time. It also allows
changes in policies to be made electronically rather than distributed as paper copies.
B. Communicating HR Information
HR communication focuses on the receipt and dissemination of HR data and
information throughout the organization. Downward communication flows from top
management to the rest of the organization, informing employees about what is and will
VI. Employee Discipline
Discipline is a form of training that enforces organizational rules. Those most often
affected by the discipline systems may be problem employees. Common disciplinary
issues caused by problem employees include absenteeism, tardiness, productivity
Chapter 15: Employee Rights and Responsibilities
deficiencies, alcoholism, and insubordination.
A. Reasons Why Discipline Might Not Be Used
Managers may be reluctant to use discipline for many reasons. Some of the main ones
include the following:
• Organizational culture of avoiding discipline—if the organizational “norm” is to
avoid penalizing problem employees, then managers are less likely to use
discipline or to dismiss problem employees.
B. Effective Discipline
Because of legal concerns, managers must understand discipline and know how to
administer it properly. Effective discipline should be aimed at the problem behaviors,
not at the employees personally, because the reason for discipline is to improve
performance.
Role of Human Resources
The changing nature of HR to a more strategic orientation in some organizations
Training of Supervisors
Chapter 15: Employee Rights and Responsibilities
Training supervisors and managers on when and how discipline should be used is
C. Approaches to Discipline
The disciplinary system can be viewed as an application of behavior modification to a
problem or unproductive employee. The best discipline is clearly self-discipline and
most people can be counted on to do their jobs effectively when they understand what is
required at work. But for some people, the prospect of external discipline helps their
self-discipline.
Positive Discipline Approach
The positive discipline approach builds on the philosophy that violations are actions
that usually can be corrected constructively without penalty. In this approach,
managers focus on using fact finding and guidance to encourage desirable behaviors,
rather than using penalties to discourage undesirable behaviors. The four steps to
positive discipline are as follows:
• Counseling—the goal of this phase is to heighten employee awareness of
organizational policies and rules.
The advantage of this positive approach to discipline is that it focuses on problem
solving. The greatest difficulty with the positive approach to discipline is the
Progressive Discipline Approach
Chapter 15: Employee Rights and Responsibilities
Progressive discipline incorporates steps that become progressively more stringent
and are designed to change the employee’s inappropriate behavior. Figure 15-8
shows a typical progressive discipline process; most progressive discipline
procedures use verbal and written reprimands and suspension before resorting to
dismissal.
D. Discharge: The Final Disciplinary Step
The final stage in the disciplinary process may be called discharge, firing, dismissal, or
termination, among other terms. Regardless of the word used, discharge is when an
employee is removed from a job at an employer.
Chapter 15: Employee Rights and Responsibilities
Termination Issues
Termination happens for a wide range of reasons. For instance, excessive violations
of attendance policies commonly lead to employee terminations. Other causes
involve breaking company rules, behavioral issues such as sexual harassment and
other unethical acts, and poor execution of work-related duties. Addiction to alcohol
and drugs and substance-related convictions can also lead to terminations,
particularly in jobs that require driving.
HR Skills and Applications: Termination Procedure
Dismissal of an employee can be problematic. The following practices can make it
less difficult:
• Have HR discuss termination benefits—the HR representative explains the
employee’s final payroll and benefits. A specific letter can serve as evidence
that the employee was notified of the termination decision and details of
those rights.
•—
Chapter 15: Employee Rights and Responsibilities
legal counsel when handling such cases.
HR professionals and managers may be faced with wrongful termination claims and
lawsuits following terminations. These legal challenges can be based on federal,
state, and local laws.
Separation Agreements
Critical Thinking Challenges
1. Identify how the issues of due process and just cause are linked to employer
disciplinary actions.
Due process refers to Constitutional or other legally enforceable guarantees that no
person shall be deprived of life, liberty, or property without due process of law. In the
2. Discuss the following statement: Even though efforts to restrict employees’ free
speech at work may be permissible, such efforts raise troubling questions affecting
individual rights.
The right of individuals to have freedom of speech is protected by the U.S.
Chapter 15: Employee Rights and Responsibilities
Constitution. However, that right only provides protection against actions by the
government. It does not apply directly to actions by employers in the private sector.
Three areas in which employee’s freedom of speech have collided with employers’
3. Give some examples of how technology is creating employee/employer rights and
policy issues. Then suggest some possible actions that may be needed.
Twitters, wikis, social networking, and blogs are all requiring attention by employers.
For instance, the ethical issues of blogs and how they can lead to termination are
highlighted in the HR Online in the chapter. Students might refer to the following
sections in the text:
Chapter 15: Employee Rights and Responsibilities
4. Assume that as the HR Manager, you have decided to prepare some guidelines for
supervisors to use when they have to discipline employees. Gather the information
sample policies and other details. Then prepare a guide for supervisors on
implementing both positive and progressive discipline.
Positive Discipline Approach:
This approach builds on the philosophy that violations are actions that can be
Progressive Discipline Approach:
This approach incorporates a sequence of steps into the shaping of employee behaviors
with each step becoming successively more severe. Figure 15-8 shows a typical
progressive discipline process. Most progressive discipline procedures use verbal and
written reprimands and suspension before resorting to dismissal. Although it appears
Chapter 15: Employee Rights and Responsibilities
Discharge: The Final Disciplinary Step:
The final stage in the discipline process is termination. Both the positive and
progressive approaches to discipline provide clear warnings to employees about the
seriousness of their performance problems before dismissal occurs. When terminating
employees, it is important to use a well-defined process. The following process is
typical:
• Review evidence
• Select a neutral location
• Conduct the termination meeting
• Have HR discuss termination benefits
• Escort the employee from the building
• Notify the department staff
5. In developing a company workplace violence prevention program, management has
become aware of concerns regarding a drug-free workplace. Several employees have
recently come to HR requesting a leave of absence to enter a drug rehabilitation
program. The managers were not aware of the substance abuse issues relating to these
employees. Consequently, management recognizes that a drug-free workplace
program will help improve workplace safety and health. These programs also play an
Chapter 15: Employee Rights and Responsibilities
A. What are the key components that should be included in your company’s drug–
free workplace program to best meet the needs of both employees and the
company?
Students might suggest preemployment drug testing, random testing of everyone
B. Identify the steps a manager should take if an employee’s actions create a
suspicion that the employee has reported to work under the influence of
substances.
Case
“Evaluate” Before “Terminate”
1. On the basis of your work experiences, identify examples of behaviors that might be
considered dangerous by managers, supervisors, and/or coworkers. How did your
employers respond, and was anyone terminated?
Students’ responses will vary based on their work experiences. For students without
2. If you were an HR professional, how would you handle the termination of a
potentially dangerous employee? What policies might you create to make your
organization less susceptible to wrongful termination or discrimination lawsuits?
Students’ responses will vary. The move to terminate potentially violent or dangerous
Chapter 15: Employee Rights and Responsibilities
Supplemental Cases
Dealing with Workplace Bullying
This case explores the problems that occur when “bullying” bosses or employees are
1. Based on work experiences, identify examples of bullying that you have observed by
managers, supervisors, and/or coworkers. Discuss what was and was not done, both
appropriately and inappropriately, by your employer.
Students’ responses will vary based on their work experiences. For students
2. If you were an HR professional doing training, what content and policies regarding
bullying might you present to employees and managers?
Training should include information about appropriate and inappropriate
George Faces Challenges
This case describes the problem facing a new department supervisor when HR policies and
discipline have been handled poorly in the past. (For the case, go to
Questions
1. What are the HR policies and processes that could have kept the problem from
happening?
Student answers will vary. The transportation department had a supervisor who
handled all the planning, organization, and operating of the department. The
Chapter 15: Employee Rights and Responsibilities
2. What can George do to resolve the problems, and establish a more coordinated
department?
George should fill the secretarial position quickly. Having a secretary will help reduce
the increased work load forced on the other employees. If George is to succeed in
Comments
George’s first duty should be to fill the secretarial position as soon as possible. Having this
person will help reduce the increased work load forced on the other employees.
Some of the basic records and items needed include accurate employee personnel files,
If George is to succeed in restoring morale, solving the grievances, and preventing similar
problems from recurring in the future, he will have to set up a recordkeeping system that
involves his assistant, the route managers, and other employees. In addition, the assistant
and two route managers must be trained in the areas of company policies and procedures.
Chapter 15: Employee Rights and Responsibilities
Employer Liability for “Appearance Actions”
This case discusses a California court ruling on terminating a female for her personal
1. Do you agree that the company is guilty of illegal actions? Why or why not?
2. Discuss some examples when appearance can be a legitimate gender issue.
Students might use examples such as different types of models and also actors for