Discipline Policy

Last month, we looked at personnel policies and some of the things that should be included in them.  This month, we look in detail at the most problematic policy: discipline.

One purpose of a discipline policy is to try to correct an employee's bad habits.  Another purpose is to be able to progressively discipline an employee.

Progressive discipline is the process by which an employee is disciplined repeatedly for repeated transgressions.  The discipline typically escalates, ultimately leading to termination for cause.

Many employers have a discipline policy.  It is a mistake not to have one.  If you do not have a policy for progressive discipline, you risk allegations that you apply discipline arbitrarily and inconsistently to your employees.

The progressive discipline policy will likely have several "steps" in the discipline process. These may include verbal warnings, written warnings, meetings, suspensions without pay and finally, termination.

In  my opinion, verbal discipline is meaningless. The employee will typically deny that the warning occurred or they will claim that they didn?t realize that the conversation amounted to a step in the discipline process.  In situations where cause is alleged, an employee's word will usually trump the word of the employer.

The most effective way for conducting a progressive discipline policy is to require that all discipline is recorded in the employee's personnel file.  Further, every notation of employee discipline which constitutes a step in the progressive discipline policy should be copied to the employee. 

This does not mean that all of your notes in the personnel file need to be copied to the employee: what it does mean is that every time you discipline an employee and consider it to be a step in the progressive discipline policy, you should provide the employee with a written memo of the problem and the discipline taken.

Many employers have a discipline form, on which they record the time and date of the meeting, who was present, the substance of the discipline, corrective action required and the fact that a copy was given to the employee.

A signature acknowledging receipt is preferable, but some employees refuse to sign.  You must be sure your employee understands that their signature does not mean the employee agrees with the contents, only that they acknowledge receiving a copy of the form.  If the employee will not acknowledge receipt, make sure that a witness acknowledges in writing at the time that you provided the employee with a copy.

If you have a personnel policy which contains a progressive discipline mechanism, one of the biggest mistakes you can make is not to enforce it.  If you do not enforce it, the court may disregard it entirely. If you have gone to trouble of creating a policy, make sure that you go to trouble of enforcing it consistently.  Failure to do so will cause you no end of grief if the issue comes to court.