Discipline an Employee

Disciplining an employee is always unpleasant for everyone involved. The most effective disciplinary action should be a motivational opportunity so that the employee is inspired to perform better. Many corporate institutions use progressive discipline to address problematic behavior, which progresses through four stages: first comes a verbal warning, then a written warning, then a final written warning and/or suspension, followed by termination. The key to each phase of discipline is being communicative about why the employee was at fault and teaching him how to correct that behavior going forward. Learning how to effectively discipline an employee can help you ensure positive working relations and a better, stronger business.

Steps

Giving a Verbal Warning

1. Conduct your own investigation. Before you bring any disciplinary action against an employee at any stage of progressive discipline, it's important that you review the evidence against the employee.
   • Ask yourself who is actually at fault in the situation. It's possible that the situation is more complex than you initially thought.
   • Consider whether the employee had full control over his performance--for example, did the employee fully understand the roles and assignments of his position?
2. Ask to speak in private. It's imperative that you keep any disciplinary discussions private from the rest of your employees. This is to protect your employee's privacy and reputation within the workplace.
   • Be firm and clear, yet approachable in your request. Say something like, "When you're finished with the task you're working on, I need to speak with you in my office, please."
3. Address the issue directly. Don't beat around the bush when you're bringing up improper or unsatisfactory performance.
   • When addressing an employee's performance, be clear on what the problem is, but deliver that information in a way that shows the employee that you or another supervisor have observed this behavior and are concerned.
   • Say something like, "I've noticed that you've been missing a lot of work lately," or "It's come to my attention that you haven't been meeting your quotas on time."
4. Let the employee respond. Even though you should have conducted your own investigation before meeting with the employee, it's possible that there are still some circumstances you were not aware of. In fact, many supervisors who give their employees the chance to explain unsatisfactory behavior often find that there is no need for disciplinary action of any kind. Give the employee a chance to process what you've communicated to him and let him respond with any insight he may have on the issue.
   • Engage in a conversation. Keep yourself open to what he has to say. His input should not be a mere formality. Instead, consider the employee's response an important part of your investigation.
   • Ask the employee to respond to the issue at hand before any mention of disciplinary action comes up. You do not want the employee to feel he's being disciplined before you've heard his side of the story. The best way to do this is to state the problem bluntly, then politely ask for the employee's feedback on the issue.
   • Make the employee feel like he's part of a discussion on the issue, rather than being necessarily blamed for the problem.
   • Listen actively and attentively, then re-evaluate the situation and the problematic behavior in light of what has been said. You may find that the employee hasn't done anything wrong, or that his behavior had a reasonable excuse, or you may find that nothing has changed. But the key is listening.
5. Communicate company policies. If you still believe the employee is at fault after listening to his version of events, you'll need to spell out why that behavior or performance was unsatisfactory.
   • If the employee is to blame for the problem, contrast his behavior with any conflicting rules in place within the office. That way you will have made it clear to the employee that there is a problem, you'll have spelled out why it's a problem, and you will have provided him with the company's desired outcome or behavior for future situations.
6. Offer guidance. This is the most important part of the disciplinary process. It's not enough to point out bad behavior to an employee if you're not offering some alternative behavioral goals to work towards. Whether the employee was unclear on company policies or simply had a lapse of judgment, offer him ways to constructively avoid similar problems moving forward.
   • If an employee is having problems interacting with other coworkers, you may recommend that a representative from human resources sits down with the employee to coach him on how to interact more professionally with other workers.
   • If an employee is not meeting deadlines or quotas, ask him why, and offer realistic solutions. Work with him to figure out a way he can meet those deadlines or quotas.
7. Keep a record. It's important to maintain a detailed log of any and all disciplinary discussions you've had with employees. This can help you recall previous conversations, and can also help you track an employee's progress. It also may be helpful to have in the event that an employee brings allegations of a wrongful termination down the line.

Composing a Written Warning

1. Investigate the incident. This step is no different than the verbal warning. Any time an employee's performance or behavior becomes problematic, it's imperative that you personally review the facts and assess the situation. Keep an open mind, and be willing to try and see things from your employee's perspective.
   • Consider who is at fault, and what the circumstances are.
2. Compose your correspondence. The written warning must be composed calmly and without anger or resentment. The goal of your correspondence is similar to the goal of a verbal warning: to communicate what is not working, and suggest ways to correct the problem.
   • Make it clear in your correspondence what specific behavior or which aspects of your employee's performance are problematic, and why. Cite the specific company policies or laws that are being broken by that behavior.
   • Refer to any previous verbal warnings or conversations about behavior/performance you've had with the employee.
   • Give detailed instructions on what the employee needs to do in order to correct these problems, and offer suggestions on how the employee can meet those prescribed goals. For example, if an employee continues to have a bad sales record, reiterate the company's instructions on how to complete a sale. Offer remedial training on making sales calls so that the employee learns how to change his sales strategy to be more effective.
   • Consider whether or not to inform the employee of what the next step in the disciplinary chain would be. This could be a good motivating factor, if the employee has not taken your warnings seriously, but it may also come across as intimidating or threatening. It's best to tread carefully in this regard, and ultimately the choice is up to you.
3. Deliver the letter. Whether you've typed and printed a physical letter or sent the correspondence by email, you will of course need to deliver that written warning to the employee. Do so in a manner that is discreet and professional, and be sure that no one else in the office is aware of what you are doing.
   • Protect the employee's privacy and reputation by ensuring that he is the only person who sees and knows about the letter.
   • Offer to meet with the employee to discuss the contents of the letter, and make it known that you are available to speak if he has any concerns or is unclear about any aspect of the letter. You should also allow him to state his side of the issue, if he has a defense he'd like to offer you.
4. File a copy of the letter. It's important that you maintain a record of any and all correspondences with employees. Any time you discipline an employee at any stage of the progressive disciplinary actions, write down a record of what was said and when, and keep any copies of letters you give to or receive from the employee.
   • Have the employee sign a copy of the letter to acknowledge that he received the written warning and understands the accusations against him.

Delivering a Final Warning

1. Review the facts. At every stage of the disciplinary process, you should always review the information at hand and consider whether or not the employee is actually at fault.
2. Determine the appropriate punishment. Some businesses simply offer a final written warning as the third step of a progressive disciplinary plan. Others may choose to suspend the employee without pay. This step will vary, depending on the policies of your company and the specific actions of the employee. Whatever course of action you choose, be sure that you enforce that course of action fairly and impartially towards all employees in the workplace.
3. Write a correspondence. Whether you are offering a final written warning or intending to suspend an employee, you'll need to compose a professional letter communicating those actions to the employee.
   • Make clear what the employee has done wrong, and how his actions violate the company's policies. Refer to any previous warnings (written and verbal), as well as any prior disciplinary hearings that employee has been a part of.
   • If composing a suspension letter, make it clear in no uncertain terms that the employee will face further suspensions without pay or termination if his behavior or performance continues to insufficiently improve.
4. Deliver the letter. Once again, you will need to deliver the letter to your employee, and have him sign a copy to certify that he has received and read the letter. Offer the employee a chance to explain his side of the issue, and offer concrete feedback on how he can improve his performance.
5. Keep and file a copy. Maintain your record of correspondence with the employee, and keep all copies of correspondences in the employee's personnel file. Do not delete any emails that you have sent to or received from that employee, and ensure that the employee's file is up to date.

Terminating an Employee

1. Assess the situation. Before you terminate an employee, it's imperative once again that you fully investigate the incident and impartially assess the situation.
2. Consult with the HR department. If your company has a human resources department, consider speaking with an HR representative on how to proceed. There may be specific guidelines in place determined by governing bodies such as union organizations. For example, you may be required to bring a union representative to the meeting before terminating an employee.
3. Conduct pre-termination proceedings. Depending on your business, you may be required to schedule the employee for a pre-termination conference. You may also have to write a termination letter, informing the employee by written correspondence of his impending termination.
   • Give the employee an opportunity to respond to your evaluation, and take what he says into consideration.
   • After consulting with the employee and any other necessary parties, determine whether you should proceed with the termination process or impose a lesser penalty, such as another suspension or an additional performance review.
   • If you proceed with the termination process, include in your letter a written record of previous disciplinary warnings, as well as the detailed reasons for the employee's termination.
4. Follow through. If you've decided to proceed in terminating the employee, deliver the letter and inform your human resources department (if you have one). Be clear and use no uncertain terms in communicating to the employee that he is being terminated, and why.

Tips

• Treat your employees like adults. Be professional when you interact with them, and offer real solutions to the problems at hand. Most employees want to work better to avoid disciplinary problems in the future.
• Always investigate the allegations against an employee and ask him to explain his behavior. Be an active listener and be willing to change your course of action, depending on what the employee tells you.
• At every step of the disciplinary process, you should always be honest, clear, and to the point in all communications with your employee.

Warnings

• You must enforce rules impartially across the entire workplace. You cannot discipline some employees for bad behavior while giving other employees a free pass.
• Never criticize an employee for non-work related behavior.

1. • Be professional and calm. Never let your emotions come up during a disciplinary proceeding.

Related Articles

• Be an Excellent Employee
• Train New Employees
• Motivate Your Employees
• Fire an Employee

Sources and Citations

See also

• Become SHRM Certified
• Fire an Employee
• Give a Performance Review of an Employee
• Manage Geeks
• Know When to Give an Employee a Written Warning

What links here

• Handle an Employee's Attendance Problems
• Plan an Employee Appreciation Day