What are the key elements in the disciplinary process?

What are the key elements in the disciplinary process?
Discipline is the action taken by management to encourage compliance with the organization standards. It is a process to correct and mould employees for better performance. There are two types of discipline:

1. Preventive Discipline: This action is taken to encourage employees to follow standards and rules so that indiscipline is prevented. The personnel Department plays a major role in preventive discipline. They communicate the rules to the employees, conduct trainings and even counsel employees if necessary.

2. Corrective Discipline: This action is taken when there is non-compliance with the rules. Typically corrective discipline is a penalty like warning or suspension.
Discipline is one of the most challenging areas in the Personnel management function. In dealing with difficult employees, operating managers must diagnose both internal and external environmental factors contributing to the indiscipline, prescribe and implement appropriate remedial actions and evaluate the effectiveness of their decisions.

Disciplinary Alternatives

When deciding what disciplinary action to take, we need to keep in mind that discipline is supposed to be constructive. The goal is to guide the employee to improve performance or correct inappropriate behavior, not to punish the employee. As a general rule, the action should be just enough to get the employee's attention. However, it maybe needs to have to take progressively more serious actions if there is no improvement or if repeat occurrences follow. We need not take each of these actions, but you will normally take more than one of them. The alternatives are:

Oral Warning:
• Set a time and place to ensure privacy.
• Make notes about what you want to say in advance.
• Remember that the employee may have a right to representation.
• State clearly that you are issuing an oral warning.
• Be specific in describing the unacceptable performance or behavior.
• Remind the employee of the acceptable standards or rules. If they are available in writing, provide them to the employee.
• State the consequences of failure to demonstrate immediate and sustained improvement: Further disciplinary action may be the result.
• Note the oral warning on your calendar and key elements of discussion

Written Warning:
If you gave an oral warning and the problem performance or behavior persists, a written warning may be effective. You may decide to use this disciplinary action more than once, to get the employee's attention. Be careful, however, not to get stuck issuing repetitive letters of warning that fail to influence the employee's behavior or performance. .
• State clearly at the outset of the letter that it is a written warning, and cite the appropriate personnel policy or contract provision.
• Describe the performance problem(s) or work rule violation(s) in very specific detail and attach documents which support your conclusions.
• Outline previous steps taken to acquaint the employee with the issue (coaching sessions, performance appraisals, and previous disciplinary actions) and attach copies of the documents.
• Describe the impact of the problem (safety issues, need to reassign work).
• Note the employee's explanation (as revealed during your investigation) or that the employee declined to offer one. If it was unacceptable, explain why.
• Reiterate your expectations regarding behavior and/or performance.
• Note that if the employee doesn't demonstrate immediate and sustained improvement, the consequence will be further disciplinary action, up to and including dismissal.
• Refer the employee to the appropriate policy or contract provision for appeal rights.
• Deliver the warning letter to the employee and place it in the employee's departmental personnel file using appropriate delivery procedures such as "Proof of Service."
•
Suspension without Pay:
This is normally the next stage in progressive discipline after written warning(s).Suspension typically prevents work for a number of working days, as specified in the letter, and pay is docked accordingly.
Length of a suspension without pay will be influenced by policy or contract requirements.
The letter states that it is a suspension without pay, the appropriate policy or contract provision, and the number of days the employee will be suspended. It also (as with a letter of warning) describes the problem, previous corrective measures, impact of the problem, your expectations, consequences of failure to improve, and the employee's appeal rights.
Depending upon the personnel program the employee belongs to, you may be required to issue a letter of intent to suspend, which provides the employee with the right to appeal your intended action to the next higher management level before the action is implemented.

Reduction of Pay within a Class:
This alternative is normally used when you do not wish to remove the employee from the work site, but serious discipline is appropriate. It is most appropriately used in lieu of suspension without pay, in cases of chronic absenteeism or tardiness.
The reduction of pay is for a specific period of time, related to the seriousness of the performance discrepancy or work rule violation, and noted in the letter.
The disciplinary letter will incorporate the same elements included in a suspension

Demotion to a Lower Classification:
This action involves movement of an employee to a lower level position, and may be temporary or permanent.
Demotion is most often appropriate in cases of inadequate performance of responsibilities at a particular level, rather than violation of work rules. It should be based upon a reasonable expectation that the employee will perform successfully in the lower classified position. For example, did the employee previously hold a similar position, and did they perform satisfactorily?

Dismissal:
This alternative is normally selected after performance counseling and progressive discipline have failed to get the employee's attention to the problem.
In extreme cases, such as job abandonment, theft, or an act that endangers others, the offense may be so grave that we forgo progressive discipline.

In carrying out disciplinary action be sure to:

• Maintain a professional manner by keeping the disciplinary process confidential between you and the employee
• Make a careful diagnosis of the problem to determine whether disciplinary action is appropriate
• Provide specific examples of performance discrepancies or work rule violations so the employee fully understands what needs correction
• Allow the employee ample opportunity to explain so that you have all the facts
• Make sure discipline is the appropriate tool. Would coaching or performance appraisal be sufficient to get the employee's attention?
• When you take disciplinary action, make sure the punishment fits the crime
• Help the employee improve performance by providing specific recommendations and requirements
• Communicate clearly so the employee understands the consequences if performance or conduct does not improve

Approaches to Discipline:
Hot Stove Rule: In this approach to discipline, the reaction to the disciplinary action has the same effect as to how a person reacts when he touches a hot stove. The consequences are:

(a) Warning: Before any behavior has taken place the consequences of the undesirable behaviour are communicated to the employee.
(b) Immediate Burn: If any disciplinary action has to be taken, then it has to be taken immediately after the undesirable act has taken place. The employee must be able to see the link between the act and the punishment.
(c) Consistency: The same action is taken against any person performing the undesirable act – no discrimination.
(d) Impersonality: The disciplinary action is not directed towards a person, its meant to eliminate the undesirable behaviour.


Progressive Discipline
The progressive discipline approach is administered to give an employee a chance to take corrective action before more serious penalties are imposed. Therefore the severity of penalty is increased every time the offense is repeated. The objective is to create and maintain a productive responsive workforce.

Positive Discipline:
The disadvantages of Hot-stove and Progressive discipline are that they focus on past behaviour. Some employees who are disciplined in a punitive way may not remain committed to their job or feel good about the company. Positive discipline is future oriented and is included by working with employees to solve problems so that indiscipline does not occur in the first place.