© 2006 Thomson-Wadsworth
Learning Objectives
• State the purpose of employee
discipline.
• List common reasons why employees
are disciplined.
• Identify the reasons for having a
written disciplinary policy and
procedure.
• Describe the components of a
disciplinary policy.
© 2006 Thomson-Wadsworth
Learning Objectives
• List the steps included in the
disciplinary procedure.
• Discuss the importance of timeliness in
employee discipline.
• Define progressive discipline.
• Describe how to conduct each type of
disciplinary action.
• List situations in which the employee
may be terminated without following
progressive discipline.
© 2006 Thomson-Wadsworth
Learning Objectives
• Describe the types of documentation
necessary during progressive discipline.
• Discuss employee assistance programs
in conjunction with discipline.
• Identify the employee’s rights when
there is a conflict with management.
• Discuss the grievance process in a nonunionized workplace.
• Write a policy and procedure for
employee grievances.
© 2006 Thomson-Wadsworth
The Purpose of Employee
Discipline
• Employee Discipline
– A tool used by managers to improve
poor performance and enforce
appropriate behavior to ensure a
productive and safe workplace.
© 2006 Thomson-Wadsworth
© 2006 Thomson-Wadsworth
The Purpose of Employee
Discipline
• Eliminate inappropriate behavior
• Create a "win-win" situation for
manager and subordinates
• Not to exercise vengeance or
eliminate a problematic employee
© 2006 Thomson-Wadsworth
The Purpose of Employee
Discipline
• Neglecting discipline has consequences:
– Negative effect on productivity and morale
– Difficulty in enforcing long-ignored
standards later on
• Disciplinary Process - A step-by-step
method of dealing with performance
problems in employees.
© 2006 Thomson-Wadsworth
Organizational Policy and
Procedure
• Policy and Procedure (P&P)
– A written standard used within an
organization to describe what is to be
done and how to do it.
– Usually policies and procedures are
written for tasks that are done
repeatedly and by more than one
individual.
© 2006 Thomson-Wadsworth
Organizational Policy and
Procedure
• Importance of a written
disciplinary policy and procedure
– Protects manager and organization
– Guarantees rights of employee
– Teaches manager how to discipline
employees
© 2006 Thomson-Wadsworth
Organizational Policy and
Procedure
• Components of policies and
procedures
– Policy Statement
• The component of a P&P that states what
is to be done.
• Progressive Discipline - A disciplinary
process characterized by the use of more
drastic penalties for each repeated
instance of poor performance.
© 2006 Thomson-Wadsworth
Organizational Policy and
Procedure – Components
• Purpose
– Statement of Purpose - Part of a P&P that
explains rationale for a policy and may
include how the policy relates to an
organization’s philosophy.
• Scope
– An optional component of the policy section
of a P&P that lists the individuals or groups
impacted by the policy.
© 2006 Thomson-Wadsworth
Organizational Policy and
Procedure – Components
• Procedure
– The step-by-step description of a P&P
that states the actions to take, the
order in which they should occur, and
the timelines to be followed.
• Example formats for P&P...
© 2006 Thomson-Wadsworth
© 2006 Thomson-Wadsworth
© 2006 Thomson-Wadsworth
Organizational Policy and
Procedure – Components
• Procedure - usually has a
minimum of 4 steps:
– Verbal warning
– Written warning
– Suspension
– Termination
© 2006 Thomson-Wadsworth
Organizational Policy and
Procedure – Components
• Procedure
– Disciplinary Action - The activity
performed by a manager when
implementing a step in progressive
discipline in order to assist an
employee to correct a behavioral or
performance problem.
© 2006 Thomson-Wadsworth
The Disciplinary Process
• Verbal Warning
– The first step in employee discipline, which
includes identification of the problem and
information sharing between the manager
and the employee.
– Manager:
•
•
•
•
•
Meets with employee
States problem that has been identified
Listens to employee's perspective
Discusses potential solutions with employee
Ends on a positive, hopeful note
© 2006 Thomson-Wadsworth
The Disciplinary Process
• Verbal warning
– If employee is unaware of a policy
they are violating, they should be
coached instead of disciplined
– Prior to a verbal warning, manager
must become aware of the problem
and verify it exists
© 2006 Thomson-Wadsworth
The Disciplinary Process
• Written Warning
– The second, more formal, step in
employee discipline, which includes
stating the problem and noting
repetition over time.
– Includes:
• Meeting similar to verbal warning
• Placement of formal document in the
employee's file
© 2006 Thomson-Wadsworth
The Disciplinary Process
• Suspension
– The third step in the employee
disciplinary process, in which the
employee is given time off, usually
without pay, to demonstrate the
seriousness of the problem.
– Manager meets with employee as
before, and review formal
documentation of suspension.
© 2006 Thomson-Wadsworth
The Disciplinary Process
• Termination
– The final action in the employee
disciplinary process, which leads to
the end of employment and that
results after repeated failure of the
employee to correct the problem.
© 2006 Thomson-Wadsworth
The Disciplinary Process
© 2006 Thomson-Wadsworth
The Disciplinary Process
• Special circumstances
– Certain events may result in
termination without progressive
discipline
– Before immediate termination,
manager should consider:
• Magnitude of problem behavior
• Prior record of employee
© 2006 Thomson-Wadsworth
© 2006 Thomson-Wadsworth
Documentation
• Documentation
– A written record, in this case
of the disciplinary actions
taken.
• Anecdotal Information
– Optional informal notes that
are sometimes kept by a
manager as a reminder of
things that have occurred.
© 2006 Thomson-Wadsworth
Documentation
• Guidelines for anecdotal information:
– System should be applied uniformly to all
employees
– Notes should be factual and non-judgmental
– Notes are more useful if dated
– Notes may be discarded when no longer
needed, or when important information is
transferred to official documents
© 2006 Thomson-Wadsworth
Documentation
• Official documentation
– Documents dealing with progressive
discipline should include:
• The employee’s identifying information
• The manager’s identifying information
• Behavioral or performance problem for which the
action is being taken
• Description of events and discussions preceding
this action
• Description of the specific events leading to this
action
© 2006 Thomson-Wadsworth
Documentation
• Official documentation
– Documents dealing with progressive
discipline should include:
• Possible consequences if this behavioral or
performance problem is not corrected
• Duration of the warning
• Signature of the manager
• Signature of the employee, with a disclaimer
regarding agreement
– ex: written warning for a diet clerk...
© 2006 Thomson-Wadsworth
© 2006 Thomson-Wadsworth
Employee Assistance
Programs
• Employee Assistance Programs (EAPs) Plans that provide employees with support in
dealing with personal
crises (such as
substance abuse,
stress, or grief)
that could negatively
impact work
performance.
© 2006 Thomson-Wadsworth
Employee Assistance
Programs
• Commonly used for employees
identified as having or at risk for a
substance abuse problem
– Drug tests are routinely conducted for
workers in certain fields
• Participation in an EAP may be required
as part of a discipline process
• EAPs may be self-operated or
contracted from outside providers
© 2006 Thomson-Wadsworth
Employee Assistance
Programs
• Benefits:
– Restoration of productivity
– Avoidance of time/energy needed for
progressive discipline
– Cost savings (new employee need not
be hired/trained)
– Employee is assisted in dealing with a
potentially devastating personal crisis
© 2006 Thomson-Wadsworth
Employee Grievances
• Employee Grievances
– A method for employees to use to
resolve conflicts when they feel they
have been treated unfairly by
management.
© 2006 Thomson-Wadsworth
Employee Grievances
© 2006 Thomson-Wadsworth
Employee Grievances
• Grievance P&P has the same format as
discipline P&P
• Typical procedure:
– Discuss problem with manager
– Discuss problem with manager's superior
– Superior may refer problem to grievance
committee or CEO
• Union employee grievances are handled
differently...
© 2006 Thomson-Wadsworth
Union Employee Grievances
• Procedure from contract rather than
P&P is followed
• Grievances specific to union employees:
– Union employee asked to do non-union
work
– Non-union workers perform union work
– Union contract violations
© 2006 Thomson-Wadsworth
Union Employee Grievances
• Union grievances are often
resolved through:
– Arbitration - A hearing before
someone empowered to resolve the
dispute.
– Mediation - Negotiation between two
parties, using a neutral intermediary
to assist in settling a dispute.
© 2006 Thomson-Wadsworth
Conclusion
• Employee discipline should be used for
the purpose of helping the employee to
correct behavioral or performance
problems that have a negative impact
on the workplace.
• A disciplinary policy and procedure
should be in place that includes a policy
statement, the purpose for the policy,
and a step-by-step procedure (with
specific timelines) for the process.
© 2006 Thomson-Wadsworth
Conclusion
• The usual steps in a disciplinary
procedure include the following
disciplinary actions:
– Verbal warning
– Written warning
– Suspension
– Termination
© 2006 Thomson-Wadsworth
Conclusion
• Managers must use judgment,
empathy, consistency, and fairness
when administering employee
discipline.
• All disciplinary actions should be
documented in a factual,
nonjudgmental way.
© 2006 Thomson-Wadsworth
Conclusion
• Alternatives to the traditional
disciplinary process include the use
of employee assistance programs.
• Employees can use the grievance
procedure to resolve conflicts with
management.
© 2006 Thomson-Wadsworth