Without a doubt the most unpleasant task faced by supervisors and managers is the process of disciplining employees. Unfortunately, it is also the most important task a supervisor or manager will undertake. Failure to properly discipline employees will result in the possibility of lawsuits and unfavorable decisions in matters that are investigated by your state unemployment office. It will also result in employee morale issues.

The purpose of progressive discipline is to assist your employees to understand that an opportunity for improvement exists. It should be considered as training that corrects or improves job related performance or behavior with the primary objective of correcting and developing, not punishing, employees. Discipline allows supervisors and managers to establish, understand, communicate, and enforce rules, policies, and procedures. It sets clear standards and consequences for employees and promotes equitable decisions and treatment of your workforce.

In order to be effective progressive discipline must accomplish the following:

§ Consider past practice and equitable treatment

§ Meet the test of just cause

§ Inform employees of a specific problem and the need to correct it

The key to having an effective progressive discipline process within your company is to ensure that your policies and procedures meet the seven (7) guidelines of Just Cause:

§ Adequate Warning

§ Reasonable Rules

§ Violation of Rules

§ Fair Investigation

§ Substantial Proof

§ Equitable Treatment

§ Appropriate Discipline

Adequate warning ensures that the employee was made aware that their behavior could result in disciplinary action. The work rules were clearly communicated to all of your employees, as were the consequences for failure to comply with those rules.

The question of whether or not rules and orders (policies and procedures) are reasonable can be most easily satisfied by ensuring they are all in writing.

Anytime an employee is charged with a violation of a workplace rule they have the right to know the specific violation they are being charged with as well as the right to offer a defense.

As an employer you are charged with the responsibility to conduct a thorough investigation anytime the disciplinary process is to be used. You must ensure the employee was offered the opportunity to explain their behavior prior to deciding whether or not to take any disciplinary action. You must also ensure that the complete investigation is documented in writing. You should inform the employee of the specific problem and evidence that you have discovered as a result of your investigation and ask for an explanation. You must also inform the employee that disciplinary action may have to be taken if the completed investigation warrants it. These actions should be accomplished by a written document that is presented to the employee at the onset of the investigation. This document should outline what the specific violation(s) or problem(s) are and what disciplinary measures may be taken against the employee should they be validated by the investigative process.

There must be clear evidence (substantial proof) that the employee has violated a work standard. The evidence must be documented and witnessed. In all circumstances you must ensure that hearsay evidence is ignored and only documented facts are used in deciding whether or not to pursue with any form of progressive discipline.

Equitable treatment ensures that rules, orders, policies, and procedures are enforced in a consistent manner. Employees in similar circumstances should be treated in a similar manner. There can be no favoritism in the workplace when it comes to discipline. Past practices should have established a reasonable uniform response to recurring situations over a substantial period of time.

Appropriate discipline ensures that the disciplinary action taken is related to the seriousness of the offense. It also takes into account each employee's past performance and disciplinary record as well as their level of responsibility within the company. Supervisors and managers should be held to higher standards of performance and behavior.

For additional information on finding affordable solutions to your company's training needs contact Joe Giordano, Consulting, Training, and Development Services, at (410) 860-6664.