What is disciplinary action?

Disciplinary action in the workplace is a method to stop an employee from continuing an unwanted behavior or to reprimand them for breaking company rules and policies. It is put into place to ensure that employees are safe and that disruptions to the workplace are kept to a minimum.

The goal of disciplinary action is to inform the employee of the issue, provide them with opportunities to improve, prevent a negative impact on other employees and protect the interests of the company and staff. Above all, discipline in the workplace deters employees from acting in a manner that may be harmful to the success of a company.

How to approach employee disciplinary action

Disciplinary action can be written or verbal, and it might involve the suspension of the employee’s privileges, such as a company credit card, depending on the stage of the process. There are several methods of employee disciplinary action that an organization may use.

Progressive discipline

One of the most commonly used disciplinary actions within the workplace is progressive discipline. Progressive discipline is when disciplinary action becomes increasingly serious if an employee does not make the desired improvements. This discipline method often involves regular check-ins, attainable and measurable goals, and other processes that help employees if they don’t meet these objectives.

For example, let’s say you issue an employee a verbal warning at the onset of the undesired behavior. If the employee does not correct the behavior, they will receive a written warning or be asked to attend a disciplinary meeting with their supervisors to discuss a plan for performance improvement. Progressive discipline can protect organizations against legal action as well as provide employees with ample opportunity to improve and remain employed at the company.

Keep in mind that progressive discipline may not be the best option for more serious violations that require immediate action (e.g., assault).

Positive discipline

The positive discipline approach focuses on emphasizing the positive aspects of an employee’s good behavior rather than only discussing and reprimanding the negative aspects. This approach typically involves the use of constructive criticism as well as the encouragement of employee participation in disciplinary actions taken. Additionally, you can incorporate positive reinforcement into this disciplinary approach to reward employees who make positive changes related to unwanted behavior. This method is also often used in the organization as a whole to prevent misbehavior.

For example, a company may implement rewards or recognition for employees who consistently work hard and comply with or exceed the company’s standards. This, in turn, may motivate the employees who do not work hard consistently to increase their output. It’s important to note that while the focus of positive discipline is to prevent or quickly correct misbehavior, other disciplinary action is still taken when necessary.

Related: How to Motivate Your Employees

Suspensions or reassignment

Suspensions or reassignments typically occur when there is a severe behavioral issue or conflict that does not warrant termination. Reassignment refers to retraining or placing an employee in a different work environment where they may experience success. Suspension refers to temporarily removing an employee from the workplace, usually without pay.

Disciplinary process

It’s important to discipline employees who do not adhere to policies consistently to promote workplace productivity and peace. Here are some steps to consider taking to discipline an employee:

1. Review laws about employee discipline

Laws about employee discipline may vary depending on the state you live in and the issue you’re disciplining an employee for. Most laws do not specify what you can discipline your employees for. However federal and state laws have certain mandates that broadly cover employee discipline and termination.

Therefore, it’s essential to review the laws you must adhere to in your state before you begin the disciplinary process.

2. Refer to your employee handbook

Your employee handbook should detail your policies and disciplinary process for each infraction. These policies should establish clear rules for your employees so they know what behavior is unacceptable. Highlight the rules your employee violated and refer to the employee handbook during your meeting with the employee in case they have questions about why they’re being disciplined.

Some rules and regulations you may have in your employee handbook include:

• Dress codes
• Behavior
• Mobile devices
• Tardiness and attendance
• Productivity
• Illegal behavior
• Non-fraternization

3. Conduct a meeting with the employee

A verbal warning is often the first step of a disciplinary action process. Before you meet with the employee, cultivate an open and helpful mindset. Try to think about discipline as a corrective measure that helps your employees to develop and grow rather than viewing discipline as a punishment. Let the employee know that they’re being disciplined and discuss the reasons with them. Be prepared to answer their questions and outline what you’re willing to do to help them correct their behavior.

Conduct the meeting in a private office where others can’t hear the discussion. You should also consider informing HR of this first warning or including them in the discussion along with keeping written records of the conversations you hold.

4. Document employee discipline

Consider documenting all employee discipline as you move through the disciplinary process. Include signatures, notes and statements in the employee file just in case the discipline leads to termination or legal action. It may also be helpful to document issues as they happen so you can have accurate dates and records of policy violations. For example, you may note each instance your employee came in late and bring up your expectations each time it occurs. This helps the employee know how serious the matter is.

5. Follow up

Follow up with the employee a week or two after you discipline them to assess their progress and check up on how they’re doing. After some time has passed, the employee may also be more willing to ask questions and discuss any concerns they have about the discipline you issued.

6. Issue a written warning

If you follow up and there’s been no improvement after a reasonable period of time, a more formal and written notice is typically the next step in the process. Use an employee disciplinary action form to document and describe the issue as well as the corrective actions that will take place if the situation remains unchanged. It’s often helpful to refer to the earlier conversations held with the employees and to warn them of a possible privilege suspension or termination.

The employee should read and sign this document to show they understand its content. This formal notice marks the beginning of a probation period during which you or other management will observe the employee.

Read more: Employee Warning Notice: A Template for Issuing a Warning

7. Hold a disciplinary meeting

The next step is usually a meeting with the employee, an HR representative and yourself. During this meeting, discuss the incident and notify the employee of the possible consequences if there’s no improvement. These consequences might include termination, depending on your employee discipline policy.

8. Consider suspending privileges

If the employee’s behavior or performance remains unsatisfactory, they should receive penalties that are outlined in your employee discipline policy, such as suspension of pay, credit card use or company car.

9. Issue a termination or performance improvement plan

If no progress is made or inappropriate behaviors continue, termination may be an option. If you’re confident that the non-performing employee can improve, you can introduce a performance improvement plan or PIP before the written warning. A PIP is a formal document that describes performance expectations. It includes a timeline and clear goals. The plan also often involves regular meetings with the supervisor and HR to follow up on the employee’s progress.

Frequently asked questions about employee disciplinary action

Who should be involved in employee disciplinary action?

Many disciplinary actions are at the discretion of the manager. However, the disciplinary action taken should be aligned with the behavior. Depending on company policy and the severity of the infraction, you may want to include human resource representatives, department managers, or other company officers.

How do you avoid claims of discrimination when taking disciplinary action?

In order to avoid claims of discrimination, be sure that all expectations and potential consequences are clearly outlined in an employee handbook to which all employees have access. Follow the stated discipline plan as written, and be sure any actions taken for similar situations are consistent and that they suit the issue being handled.