How to discipline employees

Fundamentals / 18 February 2011

Handling performance or behavioural problems at work can be the least appealing aspect of management. Scott Beagrie discovers how to discipline staff with development in mind

The thought of confrontation and having to make harsh decisions means some managers can be reticent or timid when it comes to disciplining staff, but problems at work must be tackled head on if you want to be effective as a manager. Handle the situation well and the employee who is disruptive, guilty of misconduct or underperforming could soon be back on track and adhering to acceptable standards of behaviour. But if handled badly, the problem will persist and you could even be left facing legal bills and compensation payouts for wrongful or unfair dismissal.

Do your homework

Adequate preparation is fundamental to determining that any ruling made over an employee’s conduct is even-handed and consistent. Your first port of call should be to pull out the individual’s employment contract and go through their previous disciplinary and service record. Any allegation of wrongdoing, improper behaviour or poor performance must be thoroughly investigated: collect facts, including written statements and corroborative evidence that can be used, if necessary, in subsequent proceedings. Also check out whether there have been previous comparable cases and their outcome.

Remember your aim is not to have preconceived ideas but to treat the employee reasonably and in a fair and objective manner at all times. As David Battle, CEO of Lorica Consulting, points out: “The worst thing that you can do is start the process with everyone, including the individual under investigation, working from the assumption that the process is to determine which level of disciplinary sanction should apply. The objective in the first instance is to uncover the facts.”

What can seem at first sight like a piece of outrageous conduct by one individual can transpire to be an understandable, if inappropriate, response to an historical catalogue of unacceptable provocation.

David Battle, CEO, Lorica Consulting

Take a step back and stay calm

Emotions can ride high in a situation such as this and with someone’s career likely to be heavily impacted by a disciplinary procedure, it is advisable to implement a cooling off period so decisions aren’t made in the heat of the moment. Arrange a meeting in one or two days time to decide on the best next step for everyone.

“What can seem at first sight like a piece of outrageous conduct by one individual can transpire to be an understandable, if inappropriate, response to an historical catalogue of unacceptable provocation,” says Battle. “That could, for example, make the difference between, say, a dismissal or a final written warning.” Battle adds that as well as the implications for the individual concerned, it safeguards against ultimately firing the wrong person: “This is not just from the viewpoint of a possible tribunal or legal action, but also due to the fact that many individuals will continue to give good and profitable service long after their ‘written warning’ has ceased to be held
on file.”

Abide by the rules

Line managers have a responsibility to be familiar with their organisation’s general discipline and grievance policy. In most cases, organisations will have a progressive disciplinary programme.

Typically for a first breach of discipline the individual would receive a verbal warning. For the second, a written warning would be issued while a third breach could lead to suspension. If the individual commits a further breach, it could result in termination of their employment.

HR can help by making sure that everyone concerned is aware of and understands what is going to take place and conforms to the due processes. Observe closely the procedures stipulated and begin by explaining to the employee the reason for the interview and the allegation(s) being made against them. Let them know that they’ll have a chance to present their case and of their right to be accompanied by a colleague or trade union representative. Give sufficient notice of when and where the meeting will take place.

The disciplinary hearing

Appoint an appropriate chairperson who hasn’t been involved in the investigation. “Consider their personal qualities and how impartial they are able to be and take professional advice from your HR team or an external adviser before proceeding,” advises Battle. A second manager, possibly from HR, should also be present to take notes and any follow up actions.

While no two disciplinary interviews will be identical, it is necessary to keep to a typical framework. Start by detailing the reason why the interview is taking place and how it will proceed. It is important to set the right tone to convey the seriousness of the matter while making the employee feel as much as possible at ease in what is likely to be a strained environment. Detail the incident or allegation along with any supporting evidence and be precise about times and dates.

The employee or their representative should then be allowed to speak to defend the charges before calling any witnesses to give their accounts. All parties should be questioned carefully to arrive at a clear picture of the facts as well as of any potential wider issues involved. The meeting should then be adjourned to consider the evidence in full and to discuss any points raised before reaching a decision on whether any action is necessary.