Disciplinary Action at Work: An HR’s Guide [+ FREE Form]
As the entrepreneur and author Jim Rohn said, “Discipline is the bridge between goals and accomplishment.” For HR professionals, this highlights how fair disciplinary actions are essential in guiding employees towards excellence and organizational success.
Disciplinary action is an essential tool for managing unwanted behavior in the workplace. As uncomfortable as it may be, it’s integral to building an environment people want to work in. Disciplinary action policies justify involuntary terminations and help you build a safe, productive workplace.
In this article, we’ll dive into what disciplinary action is, some examples, and the steps you need to take to handle it in the best way possible.
Contents
What is disciplinary action?
Reasons for disciplinary action
Disciplinary action examples
Disciplinary action process steps
How to write a disciplinary action for an employee
Disciplinary action form (Download)
Disciplinary action letter (Download)
Disciplinary action policy best practices
FAQ
What is disciplinary action?
Disciplinary action is a corrective measure a company takes when an employee fails to meet performance expectations or behavioral requirements set by the organization’s policies, procedures, and laws. For example, an employee might receive a verbal warning from their manager or HR when they are late for work.
The primary goal of disciplinary action is not to punish the employee. It’s to correct the employee’s behavior while documenting the issues in case the problem happens again in the future.
Depending on the organization and available resources, HR’s role in workplace disciplinary action varies. In some companies, HR is only involved in more serious disciplinary actions. In other organizations, they may be involved in all disciplinary meetings. In both cases, HR is responsible for outlining disciplinary action policy and formalizing procedures for responding to actions that go against the company’s rules. Generally, these policies are outlined in the employee handbook.
Reasons for disciplinary action
While your organization has its own norms around desirable and undesirable workplace behavior, there are some examples of behaviors that are unwanted in any business:
Employee misconduct
There are two kinds of employee misconduct: general and gross. General misconduct is behavior that does not mean to harm others or the organization. Examples are not following a manager’s orders or smoking in a non-smoking area. These kinds of misconduct do not require immediate termination.
Gross misconduct, on the other hand, earns immediate termination in many cases. These are behaviors such as theft or intentional property damage.
Sexual harassment
Sexual harassment in the workplace constitutes unwanted sexual behavior that causes someone to feel sad, frightened, offended, or humiliated. In the United States, sexual harassment is illegal but does not always result in the termination of the perpetrator.
Discrimination
Workplace discrimination is when an employee is treated differently or less favorably because of their gender, race, sexuality, religion, pregnancy, or other characteristics. Discrimination can happen between employees or between employees and employers. A formal non-discrimination policy helps fight discrimination in the workplace.
Absenteeism issues
There are many different types of work absenteeism, but simply put, absenteeism is when an employee doesn’t show up for work when they are supposed to. It’s normal to miss work due to illness or an emergency, but absenteeism is usually unplanned and often happens without notice. It can become a substantial problem when it impacts other employees’ work.
Absenteeism is often a sign of deeper workplace issues like poor management and employee burnout.
Work performance
When an employee fails to reach or maintain a company’s work performance criteria tied to their job’s responsibilities, it can result in disciplinary action.
Sometimes, support from the team and managers can help underperforming employees improve. Still, other times, performance issues reveal more serious problems, such as disengagement or unhappiness in the workplace.
Bullying in the workplace
Workplace bullying is targeted behavior directed at one person or a few people. It can happen between employers and employees or just between employees. Bullying can be verbal or physical and is intended to offend, mock, or intimidate.
Some examples are:
- Harsh criticism in front of other employees
- Extreme performance monitoring
- Insults or name-calling
- Deliberate exclusion of specific individuals from meetings or team events.
Tardiness
Unlike absenteeism, where the employee does not show up, tardiness is when they show up but are consistently late. Irregular lateness getting to work is unavoidable due to unforeseen circumstances. However, chronic tardiness can damage the team’s morale and be a cause for corrective action.
Disciplinary action examples
Employers have multiple options for disciplinary action. Usually, the goal is to correct poor performance or behavior by identifying the problems, causes, and solutions rather than punishing the worker.
This requires you to have a progressive discipline policy in place. That means that the corrective steps begin with the lowest severity and become increasingly severe when an employee fails to correct the situation after being given an opportunity to do so.
Here are some examples:
A verbal warning A verbal warning is a step in which a manager or supervisor talks to an employee about problems involving workplace behavior, conduct, or overall job performance. Generally, if it is the team member’s first warning or the issue is minor, all you need is a one-time verbal reprimand. A written warning This kind of warning is in the form of a written document that alerts the employee to their misconduct in the workplace. Generally, a letter of reprimand will include the possible consequences if the team member does not fix their conduct. Loss of privileges It is sometimes possible that poor employee behavior is related to certain privileges, for example, recklessly driving a company car, spending too much money on a business credit card, and getting too rowdy at business parties. In these cases, an organization may choose to take away the employee’s rights to those privileges so issues can’t happen again. A performance improvement plan In some instances, a performance improvement plan (PIP) might be the first strategy for the employee and is more common when a team member receives a poor performance review. The goal of a PIP is to outline explicit objectives the employee needs to meet to avoid transfer, demotion, or dismissal. Retraining If an employee’s poor performance comes from a lack of understanding of their responsibilities or is often making mistakes, they might need retraining as a form of disciplinary action.
The retraining plan might include re-reading the company’s procedures and policies, written tests, or online courses. The goals of the retraining should be clearly communicated and should consist of specific outcomes.Demotion A demotion is the lowering of an employee’s job title, role, or responsibilities within the organization. This can be a permanent reassignment or temporary should performance or behavior improve. It is often used as an alternative to firing an employee.
However, demotions can make an employee feel unimportant and unmotivated, which can further negatively impact their poor performance. Employers should thoroughly consider if a demotion can actually achieve their desired goals.Temporary pay cut A pay cut is a reduction in an employee’s compensation, such as salary, benefits, or hours. It is not just limited to monetary compensation. Pay cuts are a tricky disciplinary action as they must be aligned with federal and local laws, namely the Fair Labor Standards Act (FLSA) in the United States. Suspension A disciplinary suspension is when an organization retains a team member but asks them not to come to work or engage in any work-related activities. Unless there is a clause in the worker’s contract that states your employer can suspend them without pay, usually the employee is paid during this time.
This is common in situations when someone is under HR investigation and asked to step away from their work until the investigation is complete.Termination Termination is the last option if previous disciplinary actions do not achieve the desired outcome or an employee has committed gross misconduct. Each country has different dismissal procedures and protections that must be valid in order to terminate an employee.
Disciplinary action process steps
A disciplinary action needs to follow a number of specific steps to ensure it’s fair and legal. Let’s take a look.
1. Identify the issue
The first thing that you need to do is to recognize and clearly define the employee’s behavior or performance as problematic. You can refer to the employee handbook to compare between what is acceptable and what happened. Make sure to be objective and specific when identifying the issue to maintain clarity and fairness. You should:
- Observe and document specific instances of problematic behavior or performance
- Note down details like dates, times, and what went down
- Focus on concrete facts rather than interpretations or feelings.
2. Investigate the issue
A disciplinary action can’t take place without a formal investigation. The goal of this step is to determine what happened, when it happened, where it happened, why it happened, whether anyone else was involved and whether someone witnessed the incident.
An investigation involves gathering relevant information and documentation (e.g. performance reports, emails, and other communication). You might also need to speak with witnesses to gather additional insight. Depending on the nature of the offense, it might take you a couple of days to a few weeks to investigate the matter.
This is especially important in more serious cases of misconduct.
3. Have a disciplinary hearing
Less severe instances of undesirable workplace behavior won’t require a formal disciplinary hearing. In other cases, the hearing shouldn’t take place too long after you finish your investigation. However, there should be enough time for the employee to be informed and prepare for the hearing. You’ll need to send an invitation to the employee, either by mail or email, with the following information:
- The alleged misconduct or performance issue and the potential outcomes
- All the evidence you’ve gathered from your investigation
- When and where the hearing takes place
- The employee’s right to be accompanied by a colleague or a union representative
During the hearing, both the employee and employer will have the chance to make their case. At the end of the hearing, the employer needs to give the employee an estimation of when they’ll find out the outcomes.
4. Decide and implement disciplinary action
After the hearing, work together with the manager to decide if any disciplinary action should be taken and what this would look like. Make sure to:
- Assess how serious the issue is and whether there have been any previous related incidents
- Refer to the company’s disciplinary policies to choose an appropriate course of action
- Consider any mitigating circumstances.
To implement the disciplinary action, the employer can give a verbal warning, a written warning, or a performance improvement plan. This would depend on the severity of the issue. You can refer to the previous section for a list of disciplinary action examples and what each of them means.
Make sure that you clearly communicate the action and the reasons for it to the employee. You’ll need to document the incident and the disciplinary action to protect both the employee’s rights and the organization’s interests.
5. Explain the appeal process
Don’t forget to inform the employee of their right to appeal any disciplinary decision. You should clearly explain the process they need to follow, including whom they need to contact, the deadline for submitting an appeal, and the steps involved in the review process. This allows you and the organization to maintain transparency and fairness and helps the employee feels they have a chance to be heard.
6. Monitor and follow up
After the disciplinary action has been enforced, make sure to actively monitor the employee’s progress. You can schedule regular follow-up meetings to discuss the employee’s performance or behavior, give feedback, and make adjustments to the improvement plan as needed. This ensures that the employee can smoothly reintegrate into their role and improve their performance or correct their behavior.
7. Escalate when needed
In cases where the problematic behavior or performance doesn’t improve post-discipline, you may need to escalate the matter. This involves more severe disciplinary actions (e.g. additional warnings, suspension, or even termination). These are harsh actions, so make sure that they are justified and carried out in line with company policies, and well-documented to avoid potential legal issues.
How to write a disciplinary action for an employee
An important part of the disciplinary process is to issue a disciplinary action for an employee. Here are some tips to help you write a fair, objective, and clear disciplinary action:
- Be specific: Describe the behavior or performance issue in detail. Include information such as dates, times, the context of the incidents, and any parties involved. For example, if an employee was repeatedly late, list the dates and times when these incidents happened.
- Describe the impact: Explain the broader implications of the employee’s behavior or performance on the team, department, or the company as a whole. For example, coming back to our previous example, you can explain how consistent tardiness can disrupt team workflows, delay projects, and lower team morale.
- Refer to past actions: Bring up details of any previous disciplinary actions related to the current issues. This shows that the employee is aware of the issue previously and has had opportunities to correct their behavior.
- Clarify expectations and actions to take: Clearly outline the expected behavior or performance from the employee moving forward and detail specific actions the employee needs to take to improve. For example, if the employee needs to improve their performance, work with the manager to set clear, achievable goals, and offer them additional training, mentoring, or more frequent feedback sessions. This helps the company set clear standards and shows commitment to the employee’s development.
- Outline possible outcomes: If the employee doesn’t improve, clearly state the potential consequences, including further disciplinary actions up to and including termination. It’s crucial the employee understand the seriousness of the situation and the potential impact on their employment status. This helps manage expectations and highlights the importance of following company standards.
There are two ways that you can approach issuing a disciplinary action. You can send a disciplinary action form, which is a streamlined way to address disciplinary issues. You can also opt for a disciplinary action letter. Make sure to document this letter to protect your company against legal risks in cases of termination.
Disciplinary action form
A disciplinary action form template provides a consistent and fair way to handle employee misconduct while clearly recording and documenting the incidents and actions taken.
Disciplinary action letter
Using a disciplinary action letter ensures clear and formal communication of the issues, expectations, and consequences to the employee, reinforcing the seriousness of the matter. It also provides documented evidence of the steps taken and the employee’s awareness of the situation, aiding in legal compliance and future reference.
If you’re not sure how to write this letter, here’s a template that you can use:
Let’s take a look at two examples of disciplinary letters addressing specific workplace issues.
Disciplinary action letter for workplace theft
Disciplinary action letter for not following instructions
Disciplinary action policy best practices
Employee disciplinary action can be one of the most demanding aspects of HR. The best way to set the HR team up for success is by establishing expectations for the team and always documenting the disciplinary process from the very beginning. Here are some best practices to get your team started:
Carry out an HR investigation
Carrying out an HR investigation is especially important when dealing with serious issues like bullying, harassment, or gross misconduct. You need to conduct an investigation to effectively address the issue and take relevant disciplinary action.
In addition, you ensure that everyone involved is treated fairly while creating a safe work environment for all employees.
Create a clear progressive discipline policy
Employees must know what behaviors constitute disciplinary action at your organization. You might want to include concrete examples in your policy. For instance, describe what would be considered misconduct at your company. You can refer to our guide on employee misconduct for more information.
Include the disciplinary policy in your employee handbook or intranet pages and make it easily accessible. You might also consider making the reading mandatory or asking the managers to discuss the policy with their team members. Additionally, it would be a good idea to include a training on employee conduct and disciplinary action in your employee onboarding process.
Communicate your disciplinary action policy
Employees must know what behaviors constitute disciplinary action at your organization. You might want to include concrete examples in your policy. For instance, describe what would be considered misconduct at your company.
Include the disciplinary policy in your employee handbook or intranet pages and make it easily accessible. You might also consider making the reading part of your onboarding process or asking the managers to discuss the policy with their team members.
Explain how to appeal the decision
Your employees must know how they can appeal a disciplinary decision and what steps they can take to do so. You also have to make sure that they know you’re taking them seriously and that you want to hear their side of the story even after you’ve made the decision.
Educate managers
Any time a supervisor does not discipline an employee with the same procedures as another team member, you set yourself up for legal action for discrimination and unequal treatment.
Your role as an HR professional is to educate managers on the disciplinary action policy and how to apply it. You also need to ensure that they’re using it consistently and correctly. You can do this by holding regular manager training and creating a system that allows you to review disciplinary write-ups easily.
Document your disciplinary actions
Documenting everything will help you manage progressive actions regarding employee discipline and create a legally defensible process. Make sure to keep everything in a secure employee file.
Keep the policy updated
Regularly review your disciplinary action policy to ensure it is still relevant and see if there’s anything you should add. For example, when moving to a hybrid/remote setup, you might want to give examples of what certain unwanted behaviors, such as bullying or harassment, look like in a virtual setting.
To conclude
Taking disciplinary action is not pleasant for any of the parties involved. However, having a clear disciplinary action policy with outlined unwanted behaviors and steps to take will help you ensure that you can handle the matters fairly and transparently.
FAQ
A disciplinary action is needed when an employee’s behavior or performance doesn’t adhere to the standards and policies set by the company, and they haven’t responded to informal chats or improvement suggestions. The goal of a disciplinary action is not to punish the employee but to help them improve their performance or correct their behavior.
There are many different types of disciplinary action, which include verbal warning, written warning, a performance improvement plan, demotion, or termination. Which action you and your organization choose to implement will depend on the severity of the misconduct. Generally, you should follow a progressive discipline policy, which means you start out with the least severe action and take a more stringent approach when the employee fails to improve.
Disciplinary action doesn’t mean automatic termination. You’re typically not setting out to punish the worker or remove them from the organization entirely. Your goal is to correct the poor behavior or improve the performance by identifying the problems, causes, and solutions. Termination is the most severe form of disciplinary action that should only be considered when you have no other choice.
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