Below we talk about the following aspects of Employee Discipline Procedures:
• Setting the stage for Employee Discipline Procedures
• Issuing Warnings
• The Progressive Discipline Meeting
• Taking Corrective Action
Setting the Stage for Employee Discipline Procedures
Many managers fail to do their homework before starting Employee Discipline Procedures. Here are some things to do first:
• Articulate clear expectations. You can’t take an employee to task on things they were not aware they are accountable for. There are a number of ways to articulate those expectations:
- Job descriptions
- Performance agreements
- Regular one on one meetings
• Document everything. A key component of Employee Discipline Procedures is the paper-trail. You should have a file for each employee, and that file should contain details of all communication related to performance.
- Notes about informal talks
- Any emails pertaining to performance.
- Documentation from more formal meetings.
• Make sure you’re prepared to focus on the behavior, not the person. If you make it personal, it will be much more difficult, and you may incur needless legal risk.
• Have a Progressive Discipline process. You must start your Employee Discipline Procedures knowing the various steps, and how it might end.
Progressive Discipline Process
The first step in Employee Discipline Procedures is to check with your HR department or person to fully understand what systems and processes are already in place. In the absence of any such tools, use the following as a starting point for your Employee Discipline Procedures:
1. Make sure expectations are clear.
2. Highlight the gap between desired and actual performance. You must be as specific as possible when describing this gap.
3. Give a verbal warning – Tell the person specifically what you want them to change, and in what time frame. If there is a knowledge or skill gap, you will have to assist the person in bridging this gap. Record the details of the verbal warning (date, time, discussion points, and any witnesses present).
4. Give written warning with consequences. If the performance has still not improved, you must issue a formal written warning. This should include very clear consequences about what will happen if performance does not improve. Once again you must be very specific about the gap between desired performance and actual performance. You also must specify timelines for improvement, and the next meeting.
5. Give 2nd written warning. This will have all the elements of the first letter, but also includes a much more urgent sense of the consequences of continued poor performance.
6. Take corrective action – a demotion, a suspension, or termination. At this stage it will be largely dependent on the circumstances, but you need to follow through on the promised consequences in the previous warnings.
How to Issue Warnings in the Employee Discipline Procedures
• Highlight the gap between the desired performance and the actual performance.
• Issue a verbal warning. Be as specific as possible, and make suggestions for improvement. You must document the verbal warning with the date and time, the details of the conversation, the follow up actions discussed, and any witnesses to the conversation.
• Give a written warning. Be specific. Be clear on the consequences
• Give further warnings after an adequate period of time has passed to allow him/her to make the required improvements.
The Discipline Meeting
• What to say:
- Clarify the process, and what is about to happen
- Give in as much detail as possible with behavioral examples the deficiencies of performance or transgression that has brought everybody to this meeting.
- Point out the negative impact to the organization and to the people that the undesirable performance has.
- Describe in detail the desired behavior or action, and reference when and where this has been made clear to the employee previously.
• How to Say It:
- Present case in neutral language
- Be calm
- Be as specific as possible (when, where, how many, etc.)
- Focus on the facts
- Be professional
• Ask the employee to reply
- Listen carefully
- Ask for clarification if necessary.
- Ask the employee for comments or possible solutions to resolve the issue.
Taking Corrective Action
Corrective action as part of your Employee Discipline Procedures, can take a variety of forms. You have to figure out what will be most likely to solve your problem. In some cases, it may be suspension, in others it may be termination. One thing you must ensure when you get to this point is that there are no surprises to the employee. There should have been adequate warning and notice before you ever advance to this stage of the Employee Discipline Procedures.
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