Wouldn’t it be great if employees came in on time, did their job, complied with rules and followed procedures every single day? Unfortunately, the reality is that employees do not always live up to management’s expectations or perform as required. When that happens, it is the manager’s or supervisor’s responsibility to take action to correct the problem. The reasons for taking action may vary, but the outcome is always the same — an unpleasant experience for both parties. However, the unpleasantness can be minimized if 1) the company has a documented disciplinary action plan (DAP) and 2) managers understand both the purpose and benefits of dealing with employee performance problems according to the plan.

Contrary to what many believe, the word “discipline” does not have to be associated with punishment. Except in the case of repeat violations of the same infraction, such as not following safety rules, discipline should take the form of improving employee performance through a process that includes counseling and training.

Benefits of Disciplinary Action

The primary benefit associated with disciplinary action is its counseling aspect, which can salvage the employment relationship by notifying the employee of the need for improvement. In the absence of discipline, employees may not realize they are doing something that does not comply with company policy. This can lead to accidents or other problems. Additionally, the failure to discipline one employee can also lead to low morale among employees who see the employee taking advantage of the system, not performing their share of the work or breaking rules. For example, an employee who breaks safety rules not only risks being injured, but also risks injuring others.

Although employees’ initial response to counseling might be unfavorable, generally speaking they will come around once they realize what they were doing wrong and what actions they need to take to correct the situation. Counseling often results in a more focused and reliable employee.

Methods of Discipline

The disciplinary method that is used in union shops and the construction industry in general requires an employer to progress through a series of steps, which each succeeding step being of greater concern to the employer.

This method involves counseling and takes the form of a verbal warning(s), written warning(s), suspension and finally termination. This system, which is required in union shops, can be very limiting.

Frequently, the situation warrants a different approach — namely one that ensures that managers, supervisors or foremen have the flexibility to administer verbal warnings, suspensions and termination based upon the seriousness of the particular problem, regardless of the employee’s prior disciplinary history.

The Four-Step Disciplinary Action Plan

If it becomes necessary to discipline, suspend or terminate an employee, you can decrease the company’s legal risk if you can show that you had previously warned and/or counseled the employee. Specifically, you must show that you made it clear to the employee what he/she was doing wrong and explained what he/she needed to do to comply with the company’s expectations. This is considered to be a good employment practice that will generally hold up in court if the need arises.

Step 1 – Verbal Counseling

• Employees may receive several verbal warnings before proceeding to the next step; however, the practice must be applied consistently for all employees.
  
• Warnings should be done calmly, objectively and privately.
  
• It is a good practice to have a second manager present as a witness.
  
• Document the warning with an informal note in the employee’s file.

Note: This step can be bypassed if the DAP includes flexibility for serious problems.

Step 2 – Written Warning(s)

• This step is generally preceded by a verbal warning(s).
  
• The manager or supervisor should meet with the employee and his or her representative if the employee desires to have one present.
  
• The manager or supervisor should have a second manager present as a witness.
  
• The employee should be given and allowed to read the formal written warning before proceeding.
  
• The written warning should have a place for the employee to sign and acknowledge that he/she has received the warning. The warning should also include a statement that advises the employee that his/her signature only acknowledges that he/she received the warning and not that he/she agrees with the content of the warning.
  
• Have the second manager sign the written warning and ask the witness to sign it if the employee refuses to sign it.
  
• A written warning should include: date of the warning, employee’s name, manager’s or supervisor’s name, name of second manager and employee’s representative, description and date of the misconduct or inadequate performance and manager’s or supervisor’s signature.
  

Step 3 – Suspension(s)

• This step is generally preceded by a verbal and at least one written warning.
  
• Suspension(s) is generally unpaid.
  
• An additional written warning should be provided stating why the employee is being suspended.
  
• If the next infraction is expected to result in termination, it is a good practice to so advise the employee.

Step 4 – Termination

• Before terminating the employee, review the personnel file and all relevant documents to be sure that termination is appropriate.
  
• Behavior that the company considers grounds for immediate termination should be stated in the company DAP.

Examples include: insubordination; violent behavior or threats of violence; drug and alcohol use on the job; carrying a weapon on company property; disregard for safety rules; falsifying documents; and the theft or destruction of company property.

Manager/Supervisor Training

Before managers/supervisors are expected to implement disciplinary action, they should have training so that they are familiar with the DAP’s four-step process and know how to counsel employees about their performance. They should know what documentation is required when disciplining an employee and how to document incidents by being specific, not just vaguely noting that the employee has a “bad attitude.” Training should also address the importance of keeping comments factual and objective and having a second supervisor in attendance.

Training does not have to be formal, but the safety director or a seasoned manager should sit down with all new managers, supervisors and foremen and explain the disciplinary process to them. Additionally, there are books, training programs and videos available on the Internet to help train managers. (Good search terms to use are “progressive discipline” and “discipline without punishment.”)

Common Discipline Pitfalls

Yelling or screaming at employees in a public setting creates animosity and resentment toward the supervisor. Even workers who witness this type of improper discipline are offended, and the manager or supervisor will lose respect.
Managers sometimes hold back on taking action to correct problem behavior because of a fear of disapproval or the desire to avoid the unpleasant aspect of having to confront the employee. Delay in taking action sends a message that undesirable behavior will be tolerated. Delay can also lead to a worker(s) being seriously injured or killed if the behavior involves a failure to observe safety rules.

Failure to identify the cause of the inappropriate behavior can result in discipline being implemented unfairly.
The problem may be that the employee simply did not know what was expected. For example, how is an employee supposed to know the safety rules if they were never provided or were not provided in a language the employee can understand? At the point of a verbal warning, a good manager or supervisor should determine if this was a cause and take action to remedy the situation.

Conclusion

Punishment is not the answer to behavior problems, unless the employee does not respond to verbal and written warnings. Most employees want to do a good job; some just need a little help. A properly implemented DAP is an excellent way to provide that help. From the company’s point of view, it is also an effective way to keep problem behavior from escalating beyond its control.

George Kennedy is NUCA Vice President of Safety.