In an ideal workplace, every employee is engaged, productive, and compliant with organizational policies. But in reality, most employers occasionally face the need to take disciplinary action.
When this occurs, it’s essential to approach the situation carefully. Even when enforcing legally sound employment policies, inconsistent or poorly documented discipline can leave your organization exposed to costly lawsuits and reputational damage.
Proper documentation is one of the most effective ways to protect your organization and ensure your disciplinary actions lead to positive change. It’s vital to clearly outline both the issue and the corrective action. Here are some best practices:
1. Define Expectations
Disciplinary issues often stem from a miscommunication between employers and employees about job expectations. Clear documentation starts with defining these expectations.
For example, if an employee is habitually late, simply telling them to “be on time” isn’t sufficient. Instead, specify in writing the exact time the employee is expected to be ready for work, whether on-site or online.
For more complex issues, it may be necessary to collaborate with HR or other supervisors to review the employee’s job description and establish clearer instructions for improvement.
2. Describe Problems in Detail
Vague descriptions can create confusion and escalate conflicts. Document the specific behaviors or actions that led to the disciplinary action, including:
Not all disciplinary actions stem from misconduct. Sometimes, it’s about addressing performance issues, such as poor productivity. In these cases, be just as specific. Terms like “lack of effort” aren’t actionable. Instead, detail the exact ways in which the employee is underperforming relative to their job responsibilities.
3. Give Employees a Voice
Disciplinary actions shouldn’t be one-sided. Allow employees to share their perspectives as part of the documentation process. While their input may not change the outcome, it can reveal underlying issues such as miscommunication or procedural gaps that may need attention. Plus, providing employees a voice can foster a more cooperative and fair atmosphere.
4. Create Comprehensive Action Plans
Every disciplinary document should conclude with a clear action plan that answers the question: "What comes next?" Outline the steps the employee must take to correct the issue, along with deadlines for improvement. Also, train supervisors to monitor progress and provide regular feedback.
Lastly, clearly state the consequences of non-compliance. These could include termination or demotion, so it’s wise to consult legal counsel to ensure the plan is compliant with labor laws.
Employee misconduct or underperformance can negatively impact your organization’s financial health and productivity. A well-structured documentation process helps mitigate legal risks, demonstrates professionalism, and signals to your workforce that you take disciplinary matters seriously.
If you have any questions about this content, or if you would like more information please contact Jeff Wilkie, Principal of the HoganTaylor Talent practice. More information is also available on the HoganTaylor Talent page of this website.
INFORMATIONAL PURPOSE ONLY. This content is for informational purposes only. This content does not constitute professional advice and should not be relied upon by you or any third party, including to operate or promote your business, secure financing or capital in any form, obtain any regulatory or governmental approvals, or otherwise be used in connection with procuring services or other benefits from any entity. Before making any decision or taking any action, you should consult with professional advisors.