Employee discipline is a way to correct behaviors and patterns when an employee violates company rules or policies. Rather than as punishment, employee discipline should be viewed as an opportunity to foster, build, and enhance individual performance to improve overall company productivity and culture.
Disciplining employees helps to prevent poor performance or undesirable employee behavior with the ultimate goal of creating a safe and positive work environment.
Key Takeaways
- Effective employee discipline results in a safer and more productive work environment.
- Having clear standards of discipline across all departments and employee levels ensures equal and fair treatment throughout your entire company.
- To avoid legal issues, it’s important to keep accurate and up-to-date records of disciplinary actions.
How to Discipline an Employee
When it comes to discipline in the workplace, don’t jump straight to termination. Your process should follow a pattern of establishing clear rules, investigating all incidents, documenting each incident, giving warnings, and then finally going for termination (if warranted).
Step 1: Establish Clear Rules
To properly discipline your employees you need to have clear rules in place. When guidelines are transparent, employees feel more accountable for their actions because they know what is expected of them. Additionally, it creates a sense of fairness, where all employees feel treated equally and under the same set of standards.
Consider using a progressive discipline policy, which disciplines employees in gradually increasing stages. The progressive discipline model typically follows a four-step process (with slight variation depending on company culture and industry)—verbal warning, written warning, final written warning, and termination.
However, this track of progressive discipline is not always linear. Sometimes, a policy violation is so egregious that it requires immediate termination. While facts and circumstances matter, one broad example of this could be pervasive sexual harassment by a manager. In contrast, a minor incident—such as a one-time tardiness or a minor procedural mistake—may only require informal coaching of the employee.
Step 2: Investigate the Incident
When an employee’s behavior or actions warrant discipline, conducting a fair investigation is essential to arriving at the appropriate course of action, especially in a case of employee misconduct. In the eyes of the law, due process matters. If an employee feels they’ve been unfairly treated, they might claim wrongful termination or discrimination.
When conducting an employee misconduct investigation, be sure to abide by the following general guidelines:
- Keep investigation records, ensuring they are secure and confidential
- Where applicable, abide by union collective bargaining agreements
- Do your homework and know the law (e.g., Title VII discrimination laws, ADA disability laws)
Rushing to judgment without all the facts can lead to unjust decisions, and that’s a fast track to a disgruntled workforce. It stirs the pot of rumors, fuels mistrust, and is a breeding ground for lawsuits—and, without a proper investigation to back your decision, you could face legal backlash. Consider seeking legal advice, especially in cases like bullying or harassment.
Step 3: Document the Incident
Documentation is the lifeblood of a compliant, legal, and fair disciplinary process. Sufficient recordkeeping can help businesses protect themselves and defend against an OSHA citation or penalty, a lawsuit levied by an employee, or charges brought by the National Labor Relations Board (NLRB), among others.
Adequate documentation of an employee’s disciplinary record, which should be included in every employee personnel file, may include:
- Documentation of poor employee performance or misconduct
- Complaint form(s)
- Witness reports
- Record of meetings with the employee in issue
- Discipline or termination reports
- Record of employee redress, including mediation or arbitration
- Written materials relevant to the investigation
Step 4: Give Counseling and a Verbal Warning
The employee should be given a verbal warning from their direct supervisor, with facts and specific examples to support that warning. In addition to the verbal warning, be sure to counsel the employee on how to correct their behavior in the future. This can be a simple verbal instruction or putting a performance improvement plan (PIP) in place.
Although not a formal written warning, a verbal warning should be accompanied by a written documentation of what was said. This should be signed by both the employee and the supervisor, and an impartial third-party witness, such as an HR representative. By signing a formal document, the employee acknowledges that they received a verbal warning and there is a paper trail documenting the incident.
Step 5: Give a Formal Written Warning
A formal written warning represents escalation, neglect, or repetition of the problem, or an employee’s inability to adhere to their performance improvement plan within the given time frame. Sometimes, a written warning will warn of an impending termination if the behavior or problem is not curbed.
If an employee fails to improve after the verbal and written warnings, they should be given one last opportunity to do so. Prepare a final written warning that includes a recap of the previous steps taken and why this last step is necessary. Be explicitly clear with the employee that if you have another discussion with them, it could be to terminate them.
A final written warning may also result in an employee suspension or a last change agreement. This step may be warranted prior to termination if the employee has engaged in serious misconduct or policy violation. It is a temporary way of removing the employee from the work environment.
Step 6: Termination
Under serious circumstances, or when you have already given the employee ample written warnings and last chances, you may need to terminate the employee. As outlined in our how to terminate an employee guide, this process should involve thorough documentation of the disciplinary process and why the ultimate solution is termination.
Employee Discipline Tips: What to Do & What to Avoid
1. Clearly Communicate Your Disciplinary Policy
Your company’s disciplinary policy should be clearly communicated, widely published, and readily available. The more information provided, the less room for misinterpretation and error.
For easy visibility, your policy should be included in your employee handbook. An employee handbook includes everything your employees could possibly need or want to know about company policies. Most businesses hold employee orientations or require signed acknowledgment of company expectations from employees early on.
You may communicate disciplinary policy rules by category. Common categories include:
- Day-to-Day: This type of company policy may outline the policies for employee attendance, tardiness, time off, phone-use, and dress code, as well as any available resources for employees.
- Employee Conduct: The employee code of conduct may include a breakdown of company expectations for employee productivity and work ethic; acceptable and unacceptable treatment and behavior toward customers, peers, and superiors; and company policy on unethical or illegal behaviors and actions and poor performance.
- One-Strike or Inviolable Rules: For some companies and industries, the safety of employees is paramount. It is mostly at these kinds of companies where there is one strike, or “inviolable rules,” which, when broken, result in immediate termination. This might include an egregious violation of safety protocol that endangers or harms company employees.
Employee expectations, rules, and disciplinary policies should be consistently reinforced. Annual performance evaluations and reviews provide a great opportunity for employee management.
Example
Scenario: You haven’t had the time to create a disciplinary policy. Employee D breaks a rule they didn’t even know existed. They plead ignorance, and you’re left in a pickle.
Having a disciplinary policy that’s not communicated is like having a map in a foreign language. It’s useless. Your employees can’t follow rules they’re unaware of, leading to violations and chaos. Moreover, it creates an environment where employees feel blindsided and unfairly treated.
How to Avoid It: Ensure policies are communicated clearly. Make sure every employee knows the rules, understands them, and knows the consequences of breaking them. Distribute written policies, conduct training sessions, and provide easy access to these documents.
2. Decide What Constitutes a Policy Violation
In addition to whatever is specifically outlined in your employee handbook, here are some examples of employee misconduct that likely require corrective or disciplinary action:
- Absenteeism
- Abuse of customers or clients
- Abusive language toward colleagues or supervisor
- Assault
- Causing unsafe working conditions
- Damage to machinery, equipment, or other company property
- Defamation of employer or colleagues
- Dishonesty
- Falsification of documentation
- Harassment
- Negligence
- Obscene or immoral conduct
- Possession or use of illegal substances
- Refusal to accept assignment or overtime assignment
- Tardiness
- Theft
- Threats, threatening language, or profane language directed at colleagues or management
- Violation of contractual agreement (Non-Compete or Non-Disclosure, or Conflict of Interest)
A Workplace Harassment & Misconduct Insights report shows the most prevalent types of inappropriate or illegal behaviors employees cited included bullying (51%), sexual harassment (40%), and racism (30%).
Example
Scenario: Employee A and Employee B both come in late—both of which are their first violation. Employee A gets a written warning, while Employee B is let off with a casual comment.
This inconsistent application of discipline policies can lead to a toxic work environment. It fosters resentment among employees, erodes trust in management, and undermines the authority of your disciplinary procedures.
In fact, according to the same Workplace Harassment & Misconduct Insights report, 52% of employees have experienced or witnessed inappropriate, unethical, or illegal behaviors at work that didn’t result in disciplinary action.
How to Avoid It: Apply your discipline policies consistently. Make sure your policies are clear, communicated effectively, and applied equally. Train your managers to enforce the rules consistently. Remember, fairness isn’t playing favorites; it’s treating everyone by the same playbook.
3. Double Check Your Work
Nobody’s perfect—and even practiced human resources professionals make mistakes every now and then. A great self-check on your disciplinary process with an employee is to ask yourself at each stage of discipline:
- Did I clearly define what was expected?
- Was the employee aware of disciplinary rules/inviolable rules?
- Did I perform the necessary training/retraining?
- Would others be held to the same standard?
- What does the law say?
Example
Scenario: You’ve had a series of conversations with an employee about tardiness. There were nods, agreements, even promises—but no paper trail. Then you terminate the employee for repeated lateness, and they hit back with a wrongful dismissal claim. Without documentation, it’s your word against theirs.
Failing to document disciplinary actions can result in legal issues. Documentation provides tangible evidence of issues and the actions taken, serving as a roadmap of the process. It shows you’ve given the employee opportunities to correct their behavior.
One of the legal obligations of employee discipline is that it must be applied consistently without discrimination, exception, or favoritism. Whatever you decide constitutes a policy violation must be uniformly applicable to all employees.
How to Avoid It: Document everything. Every late arrival, every warning, every conversation—get it in writing. Keep a record of who said what, when, and the action taken. This isn’t busywork; it’s your shield in the arena of law. If it isn’t documented, it didn’t happen.
Importance of Disciplining Employees
Disciplining employees is more than just enforcing the rules; it cultivates a culture of accountability and growth within your workforce. When approached constructively, disciplinary measures can empower employees to understand their shortcomings and evolve in their roles.
Effective workplace discipline can help to:
- Establish clear expectations and standards across your company
- Increase morale and job satisfaction when every employee is disciplined fairly
- Enhance individual performance
- Eliminate potential conflicts
- Foster a sense of belonging because it increases the likelihood of fairer workplace practices
- Guide employees toward improvement
Leaders who implement effective people management skills when disciplining employees should involve constructive dialogue by allowing employees to express their perspectives and feelings.
Employee Discipline Frequently Asked Questions (FAQs)
Not necessarily. The response to a policy violation should be proportionate to its severity and frequency. A minor first-time offense might warrant a conversation rather than formal discipline. However, it’s crucial that you still document this conversation.
While it’s generally advisable to follow a step-by-step approach, there are situations where severe misconduct warrants skipping steps. If you do skip steps, be sure you clearly document your reasons for doing so.
Consistency is key. Apply the same rules to everyone, regardless of their position or tenure. Regularly review your policy to ensure it complies with anti-discrimination laws. Consulting with a legal expert can also be beneficial.
An employee may refuse to sign, but that doesn’t invalidate the disciplinary action. Note their refusal on the document and have a witness present during meetings to confirm the proceedings.
A good rule of thumb is to conduct an audit annually. However, if there are significant changes in your company or changes to employment laws, more frequent updates may be required.
