BUS 51 - Mosley7e ch15

Part 6

Managing Human Resources
and Diversity

Chapter 15

Selecting,
Appraising, and
Disciplining
Employees
Mosley • Pietri
PowerPoint Presentation by Charlie Cook
The University of West Alabama

© 2008 Thomson/South-Western
All rights reserved.

Learning Objectives
Learning Objectives
After reading and studying this chapter, you should
be able to:
1. Explain who is responsible for selecting, appraising,
and disciplining employees.
2. Describe the steps in the employee selection
procedure, including the proper orientation of new
employees.
3. Explain what employee performance appraisal is and
who performs it.
4. State why performance-appraisal interviews are
difficult for both the employee and the supervisor.
5. 2008 Thomson/South- explain why it is necessary.
© Define discipline and
Western. All rights reserved.
15–2

Learning Objectives (cont’d)
Learning Objectives (cont’d)
After reading and studying this chapter, you should
be able to:
6. Describe how discipline is imposed under due
process.
7. Explain the supervisor’s disciplinary role.

© 2008 Thomson/SouthWestern. All rights reserved.

15–3

Responsibility for Selecting, Appraising,
and Disciplining Employees
Top Managers
Top Managers

Middle Managers
Middle Managers

A Shared
A Shared
Responsibility
Responsibility

Supervisors
Supervisors


15–4

Responsibility Is Shared

TOP
MANAGERS

set human resources
objectives, establish
policies, and do long range
planning and organizing.

MIDDLE MANAGERS

control the operating procedures needed
to achieve these objectives and carry out
personnel policies.

SUPERVISORS

interpret policies for employees and carry out higher
management’s wishes as to selecting and training employees.


15–5

EXHIBIT 15.1


Source: Adapted from Figure 9-4, “Techniques for Gathering Information about Potential Employees,” Small
Business Management: An Entrepreneur’s Guidebook, 4th ed., p. 228; Leon C. Megginson, Mary Jane Byrd,
and William L. Megginson. Copyright © 2003. Reprinted by permission of The McGraw-Hill Companies.

Flowchart of a Suggested
Selection Procedure

15–6

Equal Employment Opportunity (EEO) and
Affirmative Action (AA) in Hiring
• Guidelines on Employee Selection Procedures
 Are issued by the Equal Employment Opportunity

Commission (EEOC) and cover all selection
procedures, not just testing.
 Selection procedures must also comply with your

affirmative action program (AAP) for hiring people
from various groups.
 The firm’s human resource officer, in particular,

should be certain that the selection procedure
conforms to national and local laws and customs.

15–7

EXHIBIT 15.2

Topics to Avoid When Interviewing Applicants

Here is a summary of ten of the most dangerous questions or topics you might raise during an interview.
1.

Children. Do not ask applicants whether they have children, or plan to have children, or have
child care.
2. Age. Do not ask an applicant’s age.
3. Disabilities. Do not ask whether the candidate has a physical or mental disability that would
interfere with doing the job.
4. Physical Characteristics. Do not ask for such identifying characteristics as height or weight on
an application.
5. Name. Do not ask a female candidate for her maiden name.
6. Citizenship. Do not ask applicants about their citizenship. However, the Immigration Reform
and Control Act does require business operators to determine that their employees have a
legal right to work in the United States.
7. Lawsuits. Do not ask a job candidate whether he or she has ever filed a suit or a claim
against a former employer.
8. Arrest Records. Do not ask applicants about their arrest records.
9. Smoking. Do not ask whether a candidate smokes. While smokers are not protected under
the Americans with Disabilities Act (ADA), asking applicants whether they smoke might lead
to legal difficulties if an applicant is turned down because of fear that smoking would drive up
the employer’s health care costs.
10. AIDS and HIV. Never ask job candidates whether they have AIDS or are HIV-positive,
because these questions violate the ADA and could violate state and federal civil rights laws


15–8

Source: Nation’s Business, July 1992. Reprinted by permission, USChamber.com, 1992, Copyright © 1992, U.S. Chamber of Commerce.

Preemployment Testing: Types of Tests
IQ tests

Measure the applicant’s capacity to learn, solve
problems, and understand relationships.

Aptitude tests

Predict how a person might perform on a given job.

Vocational
interest tests

Determine the applicant’s areas of major work
interest.

Personality
tests

Measure the applicant’s emotional adjustment and
attitude

Achievement,
proficiency, or
skill tests

Measure the applicant’s knowledge of and ability to
do a given job.

Work sampling A test in which the prospective employee must
or work
perform a task that is representative of the job.
preview


15–9

Requirements for Using Tests in Selection
• Validity
 A high positive correlation between the applicant’s

test scores and some objective measure of job
performance.

• Reliability
 The probability that test results won’t change if the

test is given to the same person by different
individuals.


15–10

Preemployment Interview:
Questions to Ask
1. What did you do on your last job?
2. How did you do it?
3. Why did you do it?
4. Of the jobs you have had, which did you like best?
Which the least?
5. Why did you leave your last job?
6. What do you consider your strong and weak points?
7. Why do you want to work for us?

15–11

Types of Preemployment Interviews
• Structured Interviews
 Are standardized and controlled with regard to

questions asked, sequence of questions,
interpretation of replies, and weight given to factors
considered in making the value judgment as to
whether or not to hire the person.

• Unstructured Interviews
 Do not follow a preset format in that the pattern of

questions asked, the conditions under which they are
asked, and the basis for evaluating results are
determined by the interviewer.

15–12

Checking References and Records
• Why Check References?
 To verify applicant’s self-reported information on

application and during initial interview.
 To spot omissions and clarify prior employment

information about the applicant.
 To avoid charges of negligent hiring.

• Checking References
 Ask specific questions—dates of employment, salary,

rehire status—about an applicant’s performance to
avoid invading an applicant’s privacy.
15–13

New Employee Orientation
• Orientation
 The procedures for familiarizing a new employee with

the company surroundings, policies, and job
responsibilities.

• Orientation Program and Socialization Topics
 Job description
 Company information and facilities tour
 Discussion of policies, procedures, rules, benefits,

and performance expectations
 Periodic follow-up interviews
 Mentoring by tenured employee

15–14

What Is a Performance Appraisal?
• Performance Appraisal Defined
 The process used to determine to what extent an

employee is performing a job in the way it was
intended to be done.

• Other Names for Appraisals
 Merit rating, efficiency rating, service rating, and

employee evaluation.

• Appraisal Interview
 An interview in which a supervisor communicates the

results of a performance appraisal to an employee.

15–15

EXHIBIT 15.3

How Performance Appraisals Operate


15–16

Purposes of the Performance Appraisal
1. To recognize “good” performance.
2. To point out areas that need improvement.
3. To validate selection techniques in order to
meet EEOC/AAP requirements.
4. To provide a basis for administrative actions
such as promotions.


15–17

EXHIBIT 15.4

Hints for the Appraisal Interview

Do

Don’t

• Prepare in advance.

• Lecture the employee.

• Focus on performance and
development.

• Mix performance appraisal and
salary or promotion issues.

• Be specific about reasons for ratings. • Concentrate only on the negative.
• Decide about specific steps to be
taken for improvement.
• Consider your role in the employee’s
performance.
• Reinforce the behavior you want.

• Do all the talking.
• Be overcritical or “harp on” a failing.
• Feel it is necessary that both of you
agree on all areas.
• Compare the employee with others.

• Focus on future performance.


Source: Robert L. Mathis and John H. Jackson, Personnel/Human Resources Management, 7th ed. (Mason, Ohio: SouthWestern, 1994), p. 318. Reprinted with permission of South-Western, a division of Thomson Learning: www. thomsonrights.com.

15–18

The Need for Discipline
• Discipline Defined
 Training that corrects and molds knowledge,

attitudes, and behavior.

• Effective job performance requires that both
managerial and nonmanagerial employees
maintain discipline.
• An employer has the right to maintain a welldisciplined work environment and the right to
administer discipline when rules are violated.

15–19

Discipline as Due Process
• Due Process
 Guarantees the individual accused of violating an

established rule a hearing to determine the extent of
guilt.

• Conditions Ensuring Due Process
 Rules or laws exist.
 There are specific, fixed penalties for violating those

rules, with progressive degrees in the severity of
penalties.
 Penalties are imposed only after a hearing to
determine the extent of guilt has been conducted for
the accused.

15–20

Due Process in Organizations
• Support for Disciplinary Action Requires:
 The rules be reasonable.
 The penalty is related to the severity of the offense.
 The worker was given a fair hearing.

• Fair Disciplinary Procedure Requirements
 To make definite charges.
 To notify the employee (and union), in writing, of the

offense.
 To have some provision for the employee to answer

the charges either by protest or by appeal.
15–21

Progressive Discipline
1. Oral Warning
Does not go into the employee’s record.

2. Oral Warning
Goes into the employee’s record.

3. Written reprimand
Comes from higher-level management.

4. Suspension
Is an involuntary layoff from work.

5. Discharge
Is the ultimate penalty which removes the
employee from
© 2008 Thomson/South- the organization.
Western. All rights reserved.

15–22

Disciplining Employees
• Graduated Scale of Penalties
 Penalties become progressively

more severe each time the
violation is repeated.

• Intolerable Offenses
 Disciplinary problems of a

drastic, dangerous, or illegal
nature (e.g., theft) that result in
the immediate discharge of the
employee.

15–23

The Supervisor’s Disciplinary Role
When applying discipline, a supervisor must
consider these points:
1. Every job should carry with it a certain margin for

error.
2. Being overly concerned with avoiding errors stifles

initiative and encourages employees to postpone
decisions or avoid making them altogether.
3. A different way of doing something should not be

mistaken for the wrong way of doing it.


15–24

The Supervisor and Effective Discipline
• Effective Discipline
 Carries a clear advance warning.
 Is immediate.
 Is consistent.
 Is impersonal.


15–25

EXHIBIT 15.5

The Hot-Stove Rule

Advance Warning

Immediacy

Consistency

Impersonality


Source: Based on concepts in Theo Haimann and Raymond L. Hilgert, Instructor’s Manual—Supervision:
Concepts and Practices of Management, 6th ed. (Mason, Ohio: South-Western, 1995). Reproduced with
permission of South-Western, a division of Thomson Learning: www.thomsonrights.com.

15–26

Applying Discipline
• Disciplinary Layoff or Suspension
 Involuntary time off without pay.

• Termination-At-Will (Discharge) Rule
 An employer can dismiss an employee for any reason—or even

for no reason at all—unless there was an explicit contractual
provision preventing such action.

• Grounds for Discharge
 Incompetent performance that does not respond to training or

accommodation, gross or repeated insubordination, excessive
unexcused absences, repeated and unexcused tardiness, verbal
abuse of others, physical violence, falsification of records,
drunkenness or drug abuse on the job, and theft.


15–27

Important Terms
Important Terms
• achievement, proficiency, or
skill tests
• appraisal interview
• aptitude tests
• disciplinary layoff or
suspension
• discipline
• due process
• graduated scale of penalties
• hot-stove rule
• intolerable offenses
• orientation
• IQ tests


• performance appraisal or merit
rating or efficiency
• rating or service rating or
employee evaluation
• personality tests
• progressive discipline
• reliability
• structured interviews
• termination-at-will rule
• validity
• vocational interest tests
• work sampling or work preview

15–28

BUS 51 - Mosley7e ch15

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