Administering discipline may be uncomfortable for HR professionals and supervisors. They may be unsure about the timing of the corrective action or have a tendency to look the other way and hope the violations won't happen again. However, it is important to keep in mind that employees should be held personally accountable for their actions, and when work rules are violated they should be disciplined in a timely and consistent manner.
It is important to communicate company work rules to new employees, and periodically reinforce them with existing employees, so that all employees are fully aware of acceptable workplace conduct. Without proper notification, employees may inadvertently violate rules they didn't know existed. Work rules are typically communicated in employee handbooks, policies, or on an intranet.
Should there be discipline?
When it appears an employee violated a work rule, it is important to conduct an investigation before rushing to administer corrective action. It is important to know if the conduct warrants disciplinary action. The following questions will help to assess whether corrective action is warranted:
- 1. Is the employee aware of the work rule and the potential penalties for violating it?
- 2. Is the work rule practical and associated with the safety, efficiency, or operation of the business?
- 3. Has an investigation regarding the work rule violation been conducted?
- 4. Was the investigation fair and unbiased?
- 5. Did the investigation produce adequate evidence the rule was violated?
- 6. Has the work rule been followed consistently in the past?
- 7. Is the planned disciplinary action appropriate for the severity of the policy violation?
- 8. Has discipline for violating this work rule been applied consistently in the past?
Disciplinary action should be considered if you answered "yes" to the above questions.
Administering disciplinary action
When disciplinary action is being considered, proceed with the following steps to ensure the discipline process is managed consistently:
- 1. Determine if the situation can be handled at the supervisor/manager level or if HR involvement is necessary.
- 2. Ensure that potential legal issues (i.e. discrimination, collective bargaining agreement) have been considered.
- 3. Conduct the disciplinary discussion in private and explain the reason for the disciplinary action to the employee.
- 4. Agree on a performance improvement plan (unless termination is justified).
- 5. Obtain the employee's signature as acknowledgement that discipline was discussed.
- 6. Place verbal/written warning documentation in personnel file.
- 7. Conduct follow-up action to determine if the disciplinary action achieved the desired effect (i.e. progress was made, performance improvement plan was followed).
- 8. Consider the next step in the discipline process if desired effects were not achieved.
Employees work effectively when they clearly understand what's expected of them and know that their conduct and performance will be measured against a standard that is fair and objectively applied. Discipline is intended to correct misconduct and modify unacceptable behavior; it is not intended to punish the employee.
Source: JJ Keller