Employee misconduct or poor performance must be addressed. This process begins when an employee is hired and involves clearly setting performance expectations. Consider that in some cases, the same behavior can be acceptable in one work environment and unacceptable in another. A knowledge worker who is chronically late for work, but stays late to finish working may be adequately meeting expectations. Alternatively, a call center worker who is chronically late not only inconveniences workers who are waiting to end their shift, but also may leave phones unattended and customers waiting. 

If expectations have been clearly outlined and an employee is not meeting them and is not responding to regular feedback and constructive criticism then a progressive discipline policy may need to be applied.  Not all organizations choose to establish this type of policy, but for those that do, usually some of the following steps are incorporated.

-verbal warning
-written warning
-if appropriate: decision making day with pay
-suspension
-transfer
-demotion
-discharge/termination

It is important to note that not all of these steps will be included in every policy and that they are not meant to be followed in exactly the sequence shown here. For example, severe behavior such as workplace violence will require immediate action to ensure employee safety. 

The legal implications of a progressive discipline policy should be considered carefully. Furthermore, each organization will have unique requirements. A few years ago, I had the fortunate opportunity to co-present during a webcast with Manesh Rath, an expert in employment law with the law firm Keller and Heckman, LLP. Manesh touched upon the following points during the webcast:

- are all employee evaluated using a “uniform system”?

-is the performance management policy and – if applicable – the progressive discipline policy, written clearly in all relevant documents?

-“how are supervisors applying the process?”

-is feedback (both verbal and written) consistent over time?

Consultation with the appropriate legal representative will help ensure you have considered all the relevant legal information. In Canada, Human Resources and Social Development (HRSDC) can advise you of your legal rights and obligations as an employer.

If a progressive discipline policy is adopted, it is critical that the focus be on helping the employee improve his or her performance. As Teresa Howe, CHRP, writes, “successful turnaround of the situation is truly the desired outcome.” Just as critical as the focus on improvement is the documentation of all discussions and actions taken throughout the entire performance management process. When it comes to progressive discipline, the recommended approach – according to HRSDC – is to “act early, be fair, improve the employee’s performance and try to solve the problem.”  Acting early can have both practical and legal implications since inaction can be seen as an indicator that there is not a problem. Fairness requires a consistent process for all employees.

For a complete discussion of how to create a discipline process that builds personal responsibility and is administered in a fair, supportive fashion, I recommend you listen to the HR.com webcast with Dick Grote entitled Turning Problem Employees Into Superior Employees.  

References:

Grote, Dick. Turning Problem Employees Into Superior Employees. HR.com, September 11, 2006.

Howe, Teresa. “The True Meaning of Progressive Discipline” [www.charityvillage.com], March 15, 2004.

Human Resources and Social Development Canada. “Progressive Discipline” [www.labour.gc.ca], April 9, 2007.

Rath, Manesh K. and Aileen MacMillan. Meeting the Performance Review Challenge – Properly Evaluating Your Employees. Webcast, 2006.