An employee discipline program is in place to handle situations in which 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. Implementing a disciplinary policy also helps to prevent poor performance or undesirable employee behavior in the first place.
Here are the six must-know employee discipline tips to help prevent misconduct and enforce discipline in your business, while ensuring compliance with employment laws.
1. 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 communicated 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.
- This section can then expand to review company policies on employee performance management, job descriptions, performance evaluations or employee reviews, and disciplinary action, including employee suspension.
- 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 policy should be consistently reinforced. Annual evaluations and reviews provide a great opportunity for employee management.
2. Decide What Constitutes a Policy Violation
There are some factors to be considered when determining what constitutes a policy violation.
First, the severity of the offense must be considered. A minor infraction may not warrant the same punishment as a major one. Second, the intent of the offender must be taken into account. If someone breaks a rule accidentally, they should not be treated the same as someone who deliberately disobeyed it.
In addition to whatever is specifically outlined in the employee handbook, here are some examples of employee misconduct that likely require corrective or disciplinary action:
- Absenteeism
- Abuse of customers
- Abusive language towards colleagues or supervisor
- Assault
- Causing unsafe working conditions
- Damage to machinery, equipment, or other company property
- Defamation of employer or colleagues
- Dishonesty
- Violation of contractual agreement (Non-Compete or Non-Disclosure, or Conflict of Interest)
- Falsification of documentation
- Loafing
- Negligence
- Obscene or immoral conduct
- Possession or use of illegal substances
- Refusal to accept assignment or overtime assignment
- Sleeping on the job
- Slowdown
- Tardiness
- Theft
- Threats, threatening language, or profane language directed at colleagues or management
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. While it may be tempting to vary disciplinary action among job descriptions and departments, it’s a legal can of worms.
Using good people management practices, such as respect, feedback, and support, can help circumvent certain behaviors that require employee discipline.
3. Offer Progressive Discipline & Due Process
Hopefully, yours is a company culture that fosters employee sentiment of feeling heard, valued, and respected—and there’s no better place to demonstrate this than in the disciplinary process.
A modern disciplinary model is that of progressive discipline. This simply means employees are given due process, scaled disciplinary action, and consequences that fit the offense. 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.
- Verbal Warning—The employee should be given a verbal warning from their direct supervisor, with facts and specific examples to support that warning and ample opportunity to explain the event in question.
- Written Warning—This represents escalation, neglect, or repetition of the problem, or an employee’s inability to adhere to their performance improvement plan (PIP) within the given time frame. Sometimes, a written warning will warn of an impending termination if the behavior or problem is not curbed.
- Final Written Warning—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.
- Termination—Under some circumstances, when all else fails, it is the unfortunate obligation of businesses to terminate employees. 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.
As noted, 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.
4. Investigate Thoroughly
Conducting a fair investigation is essential to arriving at the appropriate course of action in a case of employee misconduct. Employees are entitled to due process. In the occasion that you have to conduct 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 (and maybe hire a lawyer)
5. Document Everything
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 may include:
- Employee personnel file
- 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 investigation
6. Do a Self-Check
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?
If you answered “yes” to these questions, it would appear the discipline is appropriate. It’s rarely pleasant, but can be fruitful when executed properly.
Common Mistakes to Avoid When Disciplining Employees
Giving you employee discipline tips is only half the conversation. We must also discuss common mistakes and what can go wrong when you or your HR team make a mistake disciplining an employee.
Navigating employee discipline is a complex task that requires careful attention. Mistakes can lead to legal trouble, costly lawsuits, and damage to your company’s reputation. It’s crucial to avoid common pitfalls and implement effective and lawful disciplinary measures. Here are some fictional scenarios to illustrate the challenges.
1. Inconsistent Application of Discipline Policies
Scenario: Employee A and Employee B both come in late. Employee A gets a stern warning, while Employee B is let off with a casual comment. Seems harmless? Think again.
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. Your rules become mere suggestions, and your credibility? Out the window.
And here’s the kicker—it’s not just bad for morale, it’s a legal minefield. Inconsistency can lead to claims of discrimination or unfair treatment, and that’s a Pandora’s box you don’t want to open. Legal battles are time-consuming, expensive, and damaging to your business reputation.
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.
2. Failure to Document Disciplinary Actions
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 is like playing soccer without a net—you can’t score if there’s no goal. 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.
The absence of documentation can lead to legal headaches. In disputes or lawsuits, the court doesn’t care for hearsay. They want facts and proof—in other words, they want documents. Without them, defending your actions becomes a steep uphill battle.
How to Avoid It: Document, document, document. 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.
3. Neglecting Thorough Investigation
Scenario: Employee C is accused of creating a hostile work environment. You’ve heard whispers, seen sidelong glances. Without diving deeper, you decide to let Employee C go. But wait, did you just step on a legal landmine?
Neglecting a thorough investigation is akin to walking blindfolded. 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 let’s not forget, it’s a breeding ground for lawsuits.
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. And without a proper investigation to back your decision, you’re in rough waters.
How to Avoid It: Conduct comprehensive investigations. Gather all the facts, interview all parties involved, and then document everything. It’s about being fair, thorough, and transparent.
4. No Clear Communication of Disciplinary Policy
Scenario: You’ve got a disciplinary policy. It’s detailed, it’s thorough, it’s perfect—in your drawer. 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.
From a legal standpoint, it’s a nightmare. If an employee is disciplined or terminated based on an unknown policy, you could face claims of unfair treatment or wrongful termination.
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. Clear communication isn’t just about speaking; it’s about making sure you’re understood. So, let that policy out of the drawer and into the light.
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.
Bottom Line
Following these tips will help any employer establish a specific, fair, and public policy that employees can easily abide by. When employee discipline is necessary, there is due process that makes the procedure easier and more objective for all parties involved. The ultimate goal of employee discipline is to keep and foster good employees with good intentions, ensure employee health and safety, avoid terminations, and enhance company productivity and personnel harmony.
