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2. Learning Objectives State the purpose of employee discipline. List common reasons why employees are disciplined. Identify the reasons for having a written disciplinary policy and procedure. Describe the components of a disciplinary policy.

3. © 2006 Thomson-Wadsworth Learning Objectives List the steps included in the disciplinary procedure. Discuss the importance of timeliness in employee discipline. Define progressive discipline. Describe how to conduct each type of disciplinary action. List situations in which the employee may be terminated without following progressive discipline.

4. © 2006 Thomson-Wadsworth Learning Objectives Describe the types of documentation necessary during progressive discipline. Discuss employee assistance programs in conjunction with discipline. Identify the employee’s rights when there is a conflict with management. Discuss the grievance process in a non- unionized workplace. Write a policy and procedure for employee grievances.

5. © 2006 Thomson-Wadsworth The Purpose of Employee Discipline Employee Discipline –A tool used by managers to improve poor performance and enforce appropriate behavior to ensure a productive and safe workplace.

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7. The Purpose of Employee Discipline Eliminate inappropriate behavior Create a "win-win" situation for manager and subordinates Not to exercise vengeance or eliminate a problematic employee

8. © 2006 Thomson-Wadsworth The Purpose of Employee Discipline Neglecting discipline has consequences: –Negative effect on productivity and morale –Difficulty in enforcing long-ignored standards later on Disciplinary Process - A step-by-step method of dealing with performance problems in employees.

9. © 2006 Thomson-Wadsworth Organizational Policy and Procedure Policy and Procedure (P&P) –A written standard used within an organization to describe what is to be done and how to do it. –Usually policies and procedures are written for tasks that are done repeatedly and by more than one individual.

10. © 2006 Thomson-Wadsworth Organizational Policy and Procedure Importance of a written disciplinary policy and procedure –Protects manager and organization –Guarantees rights of employee –Teaches manager how to discipline employees

11. © 2006 Thomson-Wadsworth Organizational Policy and Procedure Components of policies and procedures –Policy Statement The component of a P&P that states what is to be done. Progressive Discipline - A disciplinary process characterized by the use of more drastic penalties for each repeated instance of poor performance.

12. © 2006 Thomson-Wadsworth Organizational Policy and Procedure – Components Purpose –Statement of Purpose - Part of a P&P that explains rationale for a policy and may include how the policy relates to an organization’s philosophy. Scope –An optional component of the policy section of a P&P that lists the individuals or groups impacted by the policy.

13. © 2006 Thomson-Wadsworth Organizational Policy and Procedure – Components Procedure –The step-by-step description of a P&P that states the actions to take, the order in which they should occur, and the timelines to be followed. Example formats for P&P...

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16. Organizational Policy and Procedure – Components Procedure - usually has a minimum of 4 steps: –Verbal warning –Written warning –Suspension –Termination

17. © 2006 Thomson-Wadsworth Organizational Policy and Procedure – Components Procedure –Disciplinary Action - The activity performed by a manager when implementing a step in progressive discipline in order to assist an employee to correct a behavioral or performance problem.

18. © 2006 Thomson-Wadsworth The Disciplinary Process Verbal Warning –The first step in employee discipline, which includes identification of the problem and information sharing between the manager and the employee. –Manager: Meets with employee States problem that has been identified Listens to employee's perspective Discusses potential solutions with employee Ends on a positive, hopeful note

19. © 2006 Thomson-Wadsworth The Disciplinary Process Verbal warning –If employee is unaware of a policy they are violating, they should be coached instead of disciplined –Prior to a verbal warning, manager must become aware of the problem and verify it exists

20. © 2006 Thomson-Wadsworth The Disciplinary Process Written Warning –The second, more formal, step in employee discipline, which includes stating the problem and noting repetition over time. –Includes: Meeting similar to verbal warning Placement of formal document in the employee's file

21. © 2006 Thomson-Wadsworth The Disciplinary Process Suspension –The third step in the employee disciplinary process, in which the employee is given time off, usually without pay, to demonstrate the seriousness of the problem. –Manager meets with employee as before, and review formal documentation of suspension.

22. © 2006 Thomson-Wadsworth The Disciplinary Process Termination –The final action in the employee disciplinary process, which leads to the end of employment and that results after repeated failure of the employee to correct the problem.

23. © 2006 Thomson-Wadsworth The Disciplinary Process

24. © 2006 Thomson-Wadsworth The Disciplinary Process Special circumstances –Certain events may result in termination without progressive discipline –Before immediate termination, manager should consider: Magnitude of problem behavior Prior record of employee

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26. Documentation –A written record, in this case of the disciplinary actions taken. Anecdotal Information –Optional informal notes that are sometimes kept by a manager as a reminder of things that have occurred.

27. © 2006 Thomson-Wadsworth Documentation Guidelines for anecdotal information: –System should be applied uniformly to all employees –Notes should be factual and non-judgmental –Notes are more useful if dated –Notes may be discarded when no longer needed, or when important information is transferred to official documents

28. © 2006 Thomson-Wadsworth Documentation Official documentation –Documents dealing with progressive discipline should include: The employee’s identifying information The manager’s identifying information Behavioral or performance problem for which the action is being taken Description of events and discussions preceding this action Description of the specific events leading to this action

29. © 2006 Thomson-Wadsworth Documentation Official documentation –Documents dealing with progressive discipline should include: Possible consequences if this behavioral or performance problem is not corrected Duration of the warning Signature of the manager Signature of the employee, with a disclaimer regarding agreement –ex: written warning for a diet clerk...

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31. Employee Assistance Programs Employee Assistance Programs (EAPs) - Plans that provide employees with support in dealing with personal crises (such as substance abuse, stress, or grief) that could negatively impact work performance.

32. © 2006 Thomson-Wadsworth Employee Assistance Programs Commonly used for employees identified as having or at risk for a substance abuse problem –Drug tests are routinely conducted for workers in certain fields Participation in an EAP may be required as part of a discipline process EAPs may be self-operated or contracted from outside providers

33. © 2006 Thomson-Wadsworth Employee Assistance Programs Benefits: –Restoration of productivity –Avoidance of time/energy needed for progressive discipline –Cost savings (new employee need not be hired/trained) –Employee is assisted in dealing with a potentially devastating personal crisis

34. © 2006 Thomson-Wadsworth Employee Grievances –A method for employees to use to resolve conflicts when they feel they have been treated unfairly by management.

35. © 2006 Thomson-Wadsworth Employee Grievances

36. © 2006 Thomson-Wadsworth Employee Grievances Grievance P&P has the same format as discipline P&P Typical procedure: –Discuss problem with manager –Discuss problem with manager's superior –Superior may refer problem to grievance committee or CEO Union employee grievances are handled differently...

37. © 2006 Thomson-Wadsworth Union Employee Grievances Procedure from contract rather than P&P is followed Grievances specific to union employees: –Union employee asked to do non-union work –Non-union workers perform union work –Union contract violations

38. © 2006 Thomson-Wadsworth Union Employee Grievances Union grievances are often resolved through: –Arbitration - A hearing before someone empowered to resolve the dispute. –Mediation - Negotiation between two parties, using a neutral intermediary to assist in settling a dispute.

39. © 2006 Thomson-Wadsworth Conclusion Employee discipline should be used for the purpose of helping the employee to correct behavioral or performance problems that have a negative impact on the workplace. A disciplinary policy and procedure should be in place that includes a policy statement, the purpose for the policy, and a step-by-step procedure (with specific timelines) for the process.

40. © 2006 Thomson-Wadsworth Conclusion The usual steps in a disciplinary procedure include the following disciplinary actions: –Verbal warning –Written warning –Suspension –Termination

41. © 2006 Thomson-Wadsworth Conclusion Managers must use judgment, empathy, consistency, and fairness when administering employee discipline. All disciplinary actions should be documented in a factual, nonjudgmental way.

42. © 2006 Thomson-Wadsworth Conclusion Alternatives to the traditional disciplinary process include the use of employee assistance programs. Employees can use the grievance procedure to resolve conflicts with management.