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HR MATTERS E-TIPS
THIS WEEK'S E-TIP: Effective Discipline: Improve Performance and Reduce
Exposure
July 10, 2007, Volume 9, No. 28
Published by Personnel Policy Service, Inc.
"Your Policy and Compliance Experts Since 1972"
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THIS WEEK'S E-TIP: Effective Discipline: Improve Performance and
Reduce Exposure
If you are like most managers, you dread disciplining employees and
worry about making mistakes that will trigger legal action. You can
relieve some of this stress by establishing clear expectations for
employee behavior and by training supervisors to take fair and
consistent
corrective action. |
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THIS WEEK'S E-TIP: Effective Discipline: Improve Performance
and Reduce Exposure
Haphazard discipline can lead to lower productivity, poor
morale, and the
potential for lawsuits. Employees who feel they have been
treated
unfairly often file claims ranging from discrimination and
retaliation to
contract violation.
At the same time, inaction can be equally dangerous if employee
behavior problems are consistently ignored. When your managers
do not
actively address poor performance and misconduct, morale and
productivity will suffer.
So, what steps should you take? The best solution is to take an
aggressive and proactive approach using a combination of
corrective
counseling and
progressive discipline. This approach should
require
supervisors to confront employee performance and misconduct
problems
and to document the proceedings. Further, it should give
employees
specific feedback, plus action plans and timelines for
improvement. The
discussion below offers guidelines to help you handle problem
employees and implement procedures to support your disciplinary
policies.
First Steps: Informal Counseling
Many managers put off, or avoid altogether, dealing with problem
employees because of fears that disciplinary action could spark
a legal
claim. They are right to be concerned. Increasingly, employees
who feel
they have been disciplined unfairly resort to legal claims,
including
discrimination, retaliation, and even contract claims when
employers do
not follow their policies consistently. A system that combines
corrective
counseling with progressive discipline can help prevent these
claims.
The type of corrective action that should be taken in a given
situation
generally depends on four issues: (1) the nature and seriousness
of the
infraction, (2) whether it is a first time or repeat offense,
(3) past handling
of similar disciplinary problems, and (4) whether there are
special
circumstances impacting the level of needed response.
Unless the employee has engaged in a serious or repeated
offense, the
most appropriate initial response normally is for the supervisor
to have
an informal, yet specific, solutions-oriented coaching session
with the
employee. During this discussion the supervisor should:
- Remind the employee of pertinent policies and work rules;
- Provide concrete examples of how the
employee's behavior
or
performance has fallen short of expectations;
- Explain the impact of the employee's deficiencies on the
organization and coworkers; and
- Describe actions the employee needs to take to correct the
problem.
In many instances, having one or two candid discussions is
all a
supervisor needs to do to help a wayward employee get back on
track. |
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Follow-Up Steps: Progressive Discipline
When the informal coaching attempts fail, or when there is more serious
misconduct, formal disciplinary action is necessary. Most organizations
follow a
"progressive discipline" policy where employees incur
increasingly severe consequences for repeated infractions or the
continued failure to remedy deficiencies. Typically, the normal
progression in this type of a system is a formal verbal warning, one or
two written warnings, suspension, and, finally, termination. Your policy
also should preserve your discretion to use more serious disciplinary
measures, such as suspension or termination, or to skip steps
altogether, depending on the severity of the employee's misconduct or
performance deficiencies.
- Oral warning and counseling. Here, the supervisor identifies the
problem, states the employer's expectations, and explains the adverse
consequences if uncorrected. This first disciplinary step is similar
to the
informal coaching session since it is intended to counsel the employee
on improvement.
However, the employee should understand that he is now at risk for
additional disciplinary action if he does not improve. The supervisor
should keep a confidential record of the counseling session and place
a
copy in the employee's personnel file.
- Written warning. If the employee's behavior does not improve, a
written warning should follow. As with oral notice, the supervisor
again
informs the employee of the
performance expectations and required
changes, but gives the employee formal written notice conveying the
increased seriousness, and again places a copy in the employee's
personnel file.
- Suspension. The next step is a suspension, often referred to as
a "decision-making leave." Its purpose is to place the employee on
final
notice and force a commitment to improve, or face termination.
- Termination. If all efforts fail and the employee's performance
does not improve or misconduct continues, the final step is
termination.
(Of course, in certain circumstances involving particularly egregious
behavior, termination may be appropriate as the only disciplinary
step.)
To ensure that discharge is the proper response, all decisions should
be
reviewed by at least one level of management above the immediate
supervisor and by the HR manager. This review provides a system of
checks and balances and should catch questionable decisions that
warrant further management and legal review.
Decisive, Evenhanded Action Yields Results
Addressing employee misconduct or poor performance is often
uncomfortable and virtually never easy. However, by putting the above
recommendations into practice, you can promote efficiency and good
morale while protecting against costly litigation.
A structured counseling and disciplinary system puts your employees on
notice as to your expectations and gives them an opportunity to improve.
And then, if they fail to respond, your implementation of progressive
discipline delivers a reasonable, but firm message that unacceptable
behavior or performance is not tolerated. A fair and predictable process
builds employee support, remedies problems, and provides a strong
defense, if needed. |
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^^^^^^^^^^^^^^^^^^^^^ From Your HR Matters E-Tips Editors
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Subscribers to the
Personnel Policy Manual and HR Policy Answers on
CD can find a model discipline policy in Disciplinary Procedures,
Chapter
808, and information on behavior guidelines in
Behavior of
Employees,
Chapter 801.Not a subscriber? If you would like to order one of our policy
chapters,
go to:
http://www.hrpolicyanswers.com.
If you have any questions, please call us at 1-800-437-3735. We'll
be
happy to help you. |
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Information provided in HR Matters E-Tips is researched and reviewed
by the HR experts at Personnel Policy Service as well as employment
law attorneys. However, it is not intended as legal advice. Readers are
encouraged to seek appropriate legal or other professional advice.
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