VIOLATION PROCESS

What Happens to an Employee if He

She Violated the Code of Conduct?
 A code of conduct is sometimes called a code of ethics.

 This is the outline of policies that a company has adopted to

help employees understand what is expected while working
for the company; the code of conduct also sets the rules and
guidelines for moral, legal and professional behavior.

 Every company should have a written code of conduct that

outlines not only the rules but also the ramifications that
result from violating the code of conduct.
The Code of Conduct Document
 The code of conduct document should define the areas of
expectation and establish the process for dealing with
violations.

 It is important to understand that not all violations of a code

of conduct are treated the same.

 There are two essential distinctions: violating legal

rules and violating company values.
The Code of Conduct Document
 The ramifications for breaking the law have more serious
consequences beyond company disciplinary actions.

 Some value-based violations are generally not as severe as

breaking the law.

 For example, not wearing the right uniform shirt is not the
same as stealing customer credit card information.
Follow Due Process
 In the code of conduct document, it should clearly outline
what the process is when someone is accused of violating the
code of conduct.
 You don't want to dismiss or punish an employee until you
can confirm that the violation happened. Employees are often
shifted to restrictive duty or on administrative leave
until an investigation happens regarding the incident.
 Keep details confidential to protect the employees involved
and any customers. Look for witnesses and any proof of
the infraction.
Follow Due Process
 If you establish that the infraction did occur and the
employee violated the code of conduct, review the
disciplinary actions set for in the code of conduct document.
For something like not wearing the right shirt, thus violating
the business attire and professionalism section of the code of
conduct, you might start with a warning.
 For something like stealing customer information, you may
need to take further legal action.Your company could have a
set number of violations, a "three strike rule" per se that
means if an employee has three violations that are not leading
to dismissal on their own, they could be dismissed for regular
violations.
Document the Situation
 Whenever someone is accused or found in violation of the
code of conduct, document the situation in his employee file.

 Documentation includes the complaint, any witnesses names

and statements as well as the disciplinary actions taken as a
result.

 This is important for two reasons.You need to know if

certain employees are regularly violating the code of conduct
and you need to protect yourself for adverse legal action, if
you fire someone who feels that it was not justified.
Getting Professional or Law
Enforcement Help
 Depending on the violation and the required actions, you
may need to get legal assistance or help from law
enforcement agencies.
 When dismissing someone for violations, it is wise to consult
your business attorney, your human resource manager or
your payroll advisor.
 Attorneys will tell you your legal rights, and will help you
protect yourself and your business. Human resource managers
are your experts in the code of conduct, and are the
disciplinary experts guiding you properly.Your payroll advisor
will help you give the closing payments to avoid violations of
labor laws.
Getting Professional or Law
Enforcement Help
 If the violation did break the law, you will need to contact
law enforcement. Cooperate with investigators regarding the
matter. This protects your company, your team and you.
SYSTEMATIC ANALYSIS OF ETHICAL
PROBLEMS
What is Ethical Analysis?
 Ethical analysis is a systematic approach to figuring out the
right moral decision in a particular situation.
 By analyzing the situation logically, in accordance with your
ethical code, you can figure out which options are both
effective and moral.
 Ethical analysis principles encourage you to form an accurate
picture of the situation and think through the effect of your
decisions before you act.
 In business, you can use ethical analysis to get your company
back on track when your coworkers or supervisors perform
unethical actions.
Steps…
1. Gather the facts.

It states that a high-quality ethical analysis requires gathering as

much information as possible, making sure the facts are
accurate, and being aware of what information you don't have
available.
2. Define the ethical issues involved.

It states that when deciding on a course of action you may

have to consider quality of life issues, the use or abuse of
power, safety, property rights, the right of privacy, and
honesty. The specific moral issues involved will vary from
case to case.
3. Identify the parties involved.

If you discover, for example, that a supervisor is pushing his

subordinates to sell defective goods rather than lose money
by destroying them, then sales people, bosses, customers, and
the company's owners would all be affected if this comes to
light.
4. List potential solutions and the possible
consequences if you act on them.

In the defective goods case, for example, you could report

the supervisor to upper management, offer the salespeople
your support if they refuse his orders, report what's going on
to a regulatory agency or the media, do nothing, or find a job
elsewhere. Each decision will have different consequences.
5. Pick the most ethical action to follow.

You judge which action will generate the most good for the
most people or which is most likely to fix the problem.
Reporting defective goods to management could benefit
everyone involved -- assuming management acts promptly --
except the dishonest supervisor. Reporting the problem to an
outside agency will pressure management to fix the problem
quickly and make sure it doesn't happen again. Ultimately,
you'll have to make your decision based on the specific
circumstances you're dealing with.