© 2006 thomson-wadsworth. learning objectives state the purpose of employee discipline. list common...


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.


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.


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 non-unionized workplace.

• Write a policy and procedure for employee grievances.


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.



• Eliminate inappropriate behavior• Create a "win-win" situation for

manager and subordinates• Not to exercise vengeance or

eliminate a problematic employee



• 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.


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.



• Importance of a written disciplinary policy and procedure– Protects manager and organization– Guarantees rights of employee– Teaches manager how to discipline

employees



• 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.


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.



• 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...



• Procedure - usually has a minimum of 4 steps:– Verbal warning– Written warning– Suspension– Termination



• 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.


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



• 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



• 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



• 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.



• 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.



• 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


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.


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


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


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...


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.



• 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



• 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


Employee Grievances

• Employee Grievances – A method for employees to use to

resolve conflicts when they feel they have been treated unfairly by management.


Employee Grievances


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...


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


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.


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.


Conclusion

• The usual steps in a disciplinary procedure include the following disciplinary actions:– Verbal warning– Written warning– Suspension– Termination


Conclusion

• Managers must use judgment, empathy, consistency, and fairness when administering employee discipline.

• All disciplinary actions should be documented in a factual, nonjudgmental way.


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. learning objectives state the purpose of employee discipline. list common...

Documents

procedure policy

thomsonwadsworth slide

disciplinary procedure

procedure components

written disciplinary

progressive discipline

problematic employee

procedure pp