What is a Disciplinary Action?

Employer disciplinary action is a response by the employer to problems with unwanted employee behavior or poor performance. A disciplinary action is a reprimand or corrective action in response to employee’s poor performance, misconduct, or rule violation.

Disciplinary action in the workplace is any response to misbehavior or rule-breaking at work. Disciplinary action is a necessary workplace tactic to help the environment stay healthy for employees and productive for the business. While disciplinary actions range in nature and severity, every employer should understand when and how to use discipline to deal with problematic employees and other workplace risks.

While no one wants to deal with constant disciplinary problems, all businesses need to understand the nature of disciplinary action, the extent to which they can use discipline, and the varied situations that warrant disciplinary action.

This article will cover workplace disciplinary action, including when employers should discipline workers, how they should go about it, what the process may entail, and what results they should expect. Regarding employee misconduct, being informed, strategic, and prepared should be all businesses’ top priority.

An employee sleeping on the job can be dangerous and requires disciplinary action.

What is Disciplinary Action in the Workplace?

Disciplinary action in the workplace is a method to stop an employee from continuing an unwanted behavior or reprimand them for breaking company rules and policies. The purpose of disciplinary action is to correct, not to punish, work related behavior.

As is true anywhere, repercussions follow when employees at any level break the rules. But unfortunately, many of us assume that our office’s Human Resources Department handles disciplinary problems and that employers may not need to understand everything that employee discipline encompasses.

However, everyone in the office must understand what constitutes an offense and what it means for an employer or HR Manager to begin the disciplinary action process.

Employee actions warrant disciplinary action, including poor attitudes, sup-par performances, rule-breaking, harassment, and other misconduct. The initial disciplinary action depends on the nature of the offense, whether it occurred once or was a repeat offense, and the other parties involved. Strategies for discipline include:

A warning, given verbally
A warning, issued in writing
Suspension
A poor performance evaluation or poor performance review
A plan for improvement
A reduction in status or rank
A reduction in pay or payment penalty (for example, the removal of a bonus)
Termination of the employee

A disciplinary action is a corrective action and reprimand in response to employee rule violation, poor performance, or misconduct. The grounds for disciplinary action are different for different companies but often have commonality. The reasons for disciplinary action often depend on the company and the industry.

For example, a law firm places strict rules and emphasis on interacting with clients, sharing client information, presenting oneself to clients professionally, and acting honorably and lawfully at all times.

A more casual company, for example, a burger restaurant, may not require employees to wear suits or act formally. However, the restaurant often has rules, such as when to take lunch breaks, what uniform to wear, and how to greet customers.

While the severity of offenses depends not only on the act itself but the industry, some actions result in disciplinary action because of their offensive nature. Companies punish violators for these acts whether the worker drives trucks for a living, fixes computers, or works at a bank.

These examples of severe misconduct include:

Violent acts against clients, customers, fellow employees, or superiors
Threats of violent acts against the same parties
Sexual harassment in the workplace
Sexual assault in the workplace
Stealing company funds
Defrauding the company
Discriminating against anyone involved with the company
Lying about work hours and taking false payments for those hours

Some employers have a no-tolerance policy for behaviors like these, and they go over their policies with workers during the onboarding process. Other companies use each example of misconduct as a chance to decide on the appropriate disciplinary response.

It is crucial for all businesses to establish grounds for disciplinary action. When workers violate the rules or cannot control themselves, they create an unsafe space for their peers, supervisors, and, most importantly, the company’s customers and clients. Employees who severely misbehave and break the rules of the business put the entire company at risk. They also may commit state or federal crimes and be prosecuted for those acts.

How can disciplinary actions be prevented?

In your employee handbook, make clear that violating the company’s conduct and performance standards may result in disciplinary action. To avoid disciplinary action is to quickly have a difficult conversation with the employee about poor performance or rule violation.

One of the most important aspects employers should consider regarding disciplinary action is setting clear expectations. For disciplinary actions to appear fair for everyone, workers must understand from the start what behavior is acceptable and what is not. Employees should also fully understand the repercussions of their actions if they misbehave or betray the company.

Setting clear expectations begins with the employee onboarding process. During onboarding, new workers should understand the rules and regulations their company cares about and enforces.

Over half of the employee transgressions stem not from ill intent but from misunderstandings. When employers are wishy-washy about rules or workers do not understand why certain regulations exist, employers are more apt to act out. As a result, many employers want to know how to inform their employees about workplace rules more effectively and avoid misunderstandings later.

The following is a checklist for employers to establish clear expectations for workers to follow:

Encourage One-On-One Meetings at Greater Frequency

Traditionally, managers and supervisors meet with workers once a year for evaluations. Employers try to address concerns and laud accomplishments in these meetings. Still, many employers find that meeting once per year does not provide enough time to discuss issues fully and increases pressure.

We suggest meeting with workers more often. Employers will have more time to critique and compliment workers, and employees will ask more questions. Meeting one-on-one should allow free dialogue, not increase pressure on either party. Even more importantly, an early meeting can prevent employees from going down the wrong path before their actions spiral into larger problems. Often, workers break the rules because they are not clear on the nature of the rules. Given a chance to ask, they will search out the answer. Try meeting 3-4 times annually with workers instead of once, and then see if that number works or should be changed.

Use a Code of Conduct

We all know how important the onboarding process is for new employees. However, in recent years, many companies have placed less importance on using an employee handbook. Companies that think a handbook is antiquated should try updating theirs instead of deemphasizing it. A quality handbook provides a detailed guide for workers, informing them of the company’s goals and values as it lists important office rules and HR policies.

Make sure to include day-to-day rules of conduct in the handbook, for example, the office’s dress code or kitchen duties. Handbooks no longer need to be printed and can take the form of e-books or PDFs, but they allow employers to “hand” workers a set of rules and ask them to study them. Some companies quiz their employers on employee handbook policies, too. Do not miss the chance to provide workers with a clear vision of company expectations.

Improve Job Descriptions

Vague job descriptions create problems for employers because the pool of applicants grows too wide. The more specific companies can be about their needs and the role they are trying to fill, the better the pool of applicants will be.

On the other hand, prospective employees will be more honest with themselves when they understand the nature of the available job and the employer’s expectations. While job descriptions should not be too long to read in one sitting, they should be as specific as possible about duties, responsibilities, and goals. They should also widen the lens and touch on what the company’s goals are, as well, so workers can decide if they share that vision.

Showcase the Company’s Brand

When prospective employees understand what makes a company tick, they can gauge if their skills and interests will benefit the organization. For example, every company has a culture and a brand, but some businesses do not promote the brand very well. Additionally, some businesses struggle to convey their unique culture and what makes their company different from the competition.

However, showcasing the company brand will bring in more business and show candidates what it means to work for the company. When a business’ brand appeals to a job candidate, they are more willing to learn and abide by the rules.

Getting the word out about the company’s brand and culture can be done through advertising and marketing via the web, social media, or print media.

Provide Comprehensive Training

We touched on the importance of an employee handbook, which is one important aspect of employee training. However, training is not simply about showing workers how to do their jobs. Training also encompasses providing employees with the resources to work together. When employees do not understand, for example, what constitutes harassment at the workplace, they are much more apt to commit the offense.

Therefore, training must target expectations and include examples of offenses such as discrimination and strict office rules surrounding harmful behavior. For example, some companies find role-playing games effective or videos, but regardless of the means, employers must be clear about what defines offensive behavior and the penalties.

How Should Employers Handle Employee Disciplinary Action?

Employers should contact the employee as earliest as possible, state the unacceptable performance, rule violated, discuss the expected changes, and set a time-frame for compliance. Of course, each situation is different and includes unique individuals and offenses, but here are some recommended practices for dealing with employee offenses rationally and productively. The following is a checklist for employer on handling employee disciplinary action:

Verify the Offense: Information about employee misconduct arrives in various ways, from a report from a fellow worker to a manager who identified problematic behavior. However, the first thing to do is to make sure to confirm the information. While some events become caught up in a ‘he said, she said’ situation, most of the time, employers can find out of the source of information is reputable, if anyone else witnessed the behavior, and if it is a repeat offense. Facts matter; nothing is worse than accusing an innocent employee of an act they did not commit. False accusations can damage the entire company.

Review the Rules: If the question is whether a worker violated company rules or policies, check on the policy first. Ensure everyone involved understands the language and facts included in the policy, especially the violator. While some acts are obvious transgressions, such as coming in an hour late to work each day, some misconduct is less obvious and requires a review of fine print.

Check on the Employee’s Past Actions: Is it clear from the worker’s past acts that they do not fit in with the company, or is this the case of an honest mistake? Employers should check all information available to them to see if they are dealing with a rulebreaker who does not respect the company’s policies or a quality employee who made one misinformed decision. For example, was the worker warned? Do their actions call for immediate termination, as expressed in the employee handbook?

Do Not Be Emotional: This tip is easier said than done, especially if someone commits an offensive act or harasses another employee or manager. However, no one makes confident, measured decisions when upset or offended. For example, if a manager feels attacked, they might immediately recommend their employer file the worker who shouted at them. Twenty-four hours later, however, the manager may feel differently when the case facts come to light.

Ask for Witnesses: Witnesses provide evidence and help aid the decision-making process regarding punishment. They also help to verify acts and statements. Make it clear that witnesses of misconduct will not be punished, and they will come forward to help with the case.

Use a Strategy: Do not enter into a disciplinary meeting without preparation. A plan should be in place regarding who speaks when and who must be there. For example, sometimes, lawyers are required to be present on both sides. In addition, if the employee is part of a union, a union representative may need to be there. Planning out the hearing allows for fewer distractions and clearer objectives and penalties.

Utilize Documentation: It is always more effective to have documents, photos, or testimony to fall back on. Make sure all documents are ready to go before the meeting starts. Have someone join the meeting to help organize and present the documentation.

Consider Location: Disciplinary meetings should be held in person whenever possible, with the next step being a platform such as Zoom. Also, the meeting should be private, ensuring no interruptions or distractions.

Embrace Honesty: If the employer is terminating a worker, tell them why. Unfortunately, too many employers use false reasoning, such as “it’s a slow year,” to cushion the blow. However, workers will not learn from their mistakes if they do not understand the consequences of their actions.

Embrace Dialogue: The meeting should assist both sides. This meeting is not a chance for the employer to break the employee down or berate them. Instead, even if the employee engaged in misconduct, allow them to state their views and justify their actions. Sometimes, employers are surprised by the worker’s point of view, and this helps both parties understand each other.

Stay Open: Sometimes, new information comes to light in disciplinary hearings. For example, an employer might go into a hearing thinking that a firing is 100% certain but then find out new details that change their mind. Employees appreciate it when employers stay open and are not closed off. Everyone makes mistakes, including managers, supervisors, and CEOs; just look at the news for evidence.

Not all of these strategies may work for all companies and all situations, but some of these tips should apply to your disciplinary situation.

Contact Nakase Wade for Legal Counsel Regarding Disciplinary Action

Employers must avoid breaking the law when disciplining or fire an employee. When employers or employees contact our legal team about cases of workplace misconduct, the first thing we do is request all of the information. Then, our employment and HR attorney will analyze the best method for disciplinary action for the employee. Then, we figure out the best way to help the individual overcome the difficult situation and move on.

When employees engage in misconduct, even the most prepared employers seek advice. They want to protect their businesses, their workers, and their livelihoods. They want to return to conducting business and focusing on profits and outcomes, not employees who choose to violate company policies.

Our experienced business attorneys and corporate lawyers at Nakase Wade help California business owners deal with disciplinary problems. Do not let one bad employee ruin the company you have worked so hard for. Instead, contact Nakase Wade for a free consultation today.

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