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The Types of Disciplinary Actions Available to Managers

Presented to
Instructor Perry Barton
MGMT 2215 Team Project

By
Rachel Murphy

01/22/15

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Disciplinary actions are used as a procedure of communicating with the employees about their
need to improve unacceptable performance and/or behavior. Employees are expected to
meet various performance criterions and conduct themselves properly in the work
environment. Managers may need to take a particular type of disciplinary action when
other methods implemented such as coaching and performance appraisals have not been
successful in correcting the issues. In some cases it may be best to start by proceeding
straight to some type of disciplinary action or termination. It is important to check with
the Labor & Employee Relations (L/ER) Analyst, Human Resource consultant, or the
Department of Labor before starting disciplinary actions.
There are generally two types of issues that require discipline measures, behavioral issues and
performance issues. Behavioral issues commonly tend to cause disruption in the workplace
through employee misconduct or violations of guidelines. Performance issues such as the
inability to meet particular objectives or to correctly complete tasks usually arise when an
employee doesnt have the knowledge, ability, and/or skills to accomplish the requirements of
the jobs responsibilities.
Discipline actions shouldnt be a complete astonishment to an employee. Sometimes employees
may be oblivious to managements' disappointment with them up until they are given a formal
written warning or a letter of termination. It is important to evade these types of circumstances if
possible. Management should attempt to communicate regularly with all employees about any
behavioral or performance issues that occur. Dont wait until the performance issues cannot be
endured any longer or until scheduled performance reviews are implemented to make the
employee aware of any existing issues.
Employee discipline is often a challenging experience and guidelines have been developed to
help determine the most effective method to managing performance issues and/or
behavioral issues. Reviewing the Seven Tests of Just Cause is a method that is used to
help decide if a disciplinary action is the best tactic to solve the issue in a certain
circumstances. When determining which discipline to use it is important to keep in mind
that implementing disciplinary actions is meant to be productive. The objective is to lead
the employee in successfully improving their performance or in correcting any
inappropriate behaviors. It is not beneficial to chastise the employee. A universal rule is
that discipline should be just enough punishment to capture the employee's consideration.
If there is not any improvement after a predetermined period of time or if unacceptable
performance or behavior issues are becoming a repeated occurrence, a progressive and
more serious disciplinary action may be needed to achieve the desired results.
The Seven Tests of Just Cause includes researching whether the work order or rule is reasonable,
proper notice was given, a sufficient investigation was given, the fairness of the investigation, the
proof, if equal treatment is provided, and if the discipline is appropriate. When determining
whether the rule or work order is reasonable it is important to ask the following questions. Is the
guideline or instruction realistically connected to the systematic, efficient, and safe process of the
organization? Is the guideline or order forthright and specified in way that makes it easy to
comprehend? Has management maintained consistency and impartially when reinforcing the

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regulation or guideline? Is the rule or order applied constantly through the department? What is
the division's correction record for violations of this standard or rule?
To determine if proper notice was given, the following questions should be asked. Did the
individual receive satisfactory notification of the workplace guideline or behavior requirement
and of the conceivable penalties for failing to meet the terms? Is the abused behavior standard or
guideline published? Is the guideline current and applicable to the business requirements for the
department? How was the employee notified of the rule or standard? What evidence is there that
the individual was conscious of the rule, and comprehends it? Has the individuals personal files
been reviewed? Was this problem ever mentioned in their previous disciplinary actions and/or
performance appraisals? And if so, how recently was the issue revealed? Advanced notification
may not be essential in circumstances of serious wrongdoing (robbery, disobedience, or job
desertion).
To decide whether a sufficient investigation was conducted the following questions should be
asked. Was an investigation conducted before constructing a conclusion to take disciplinary
action? Why is it suspected that the work rule was violated or that the performance inconsistency
occurred? Does the employee have the ability to accomplish the task? Does the employee have a
history of effective performance, or do they possibly need further coaching and training? Are
there any existing witnesses in addition to management? List any other witnesses that could have
awareness of the potential problem either in participation or by being a spectator. These
witnesses can include employees, customers, clients, or supervisors. Consultation with the
witnesses and take detailed notes. Check for written records relevant to the circumstance in this
sector or elsewhere in the company? Should these records be made secure during the
investigation? Identify any published procedures, rules, or processes which could have any
significance to the case. Is there any tools or machinery that will need to be inspected by
management or experts? Is there a need to notify internal auditors or the police?
When determining if a fair investigation was conducted it is important to consider the following
questions. Was the investigation conducted fairly and unbiased? What length of time did the
suspected violation take place? Any preventable delays should be avoided; they could send a
message that violation wasnt considered serious. Has all evidence been considered or has the
evidence been centered on one theory? Did the appropriate member of management conduct the
investigation, or was the investigative manager to close to the issue to be impartial? Should the
employee be allowed to remain at work while the investigation is being conducted? Is there a
fear of possible sabotage? Is the employee a threat to other personnel or clients? Has every effort
been made to settle contradictory statements or any other contradictory evidence? Is management
prepared to discard any violation that cannot be validated? Has the employee been given a
chance to tell their opinion of the circumstance and the ability to retort to any evidence that has
been collected? Has the employee been allowed to provide supporting witnesses?
Proof is essential to the validation of disciplinary actions. To determine whether there is
sufficient proof provided the following questions can be assessed. During the investigation, was
proof of the misbehavior or of the performance discrepancy found? What are the conclusions that
are clearly reinforced by the evidence that was collected? It is important to remember that

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evidence must be truly substantial to form a solid foundation for implementing any disciplinary
actions.
It is against the law to discriminate against an employee. To make sure equal treatment is being
administered, the following questions can be asked. Have the employees been dealt with equally,
devoid of discrimination? Are the work rules and standards being administered in a consistent
manner? Are the rest of the employees being made responsible for their performance measures
and conduct? Have similar situations been administered the same type of disciplinary action?
What does the division's records show for implementing discipline actions to rectify this kind of
violation?
To determine if the appropriate discipline measures are being taken the following questions can
be assessed. How was the appropriate disciplinary action chosen? Is the disciplinary action
chosen reasonably significant to the importance of the issue? Did the employees abuse cause
hazardous issues or make disturbances in the flow of productivity for any other component of the
sector? Is the discipline sensibly correlated with the individual's records, including duration of
employment and their entire established performances? Is the defilement a component of an
ongoing pattern? Does management retain proper permission to implement the disciplinary
action? Should the disciplinary action be looked over by a higher level member of the
management team? A slight violation doesnt validate severe disciplinary action unless the
problem has become a repetitive manifestation by the individual. If the same issue is enacted by
more than one individual, their individual records of employment would be the only foundation
for implementing diverse types of discipline measures without the possibility of becoming
subjected to discrimination charges. Is the employee a member of a Union contract? It is
important to consider any possible existing contracts.
Once the decision has been made to apply the chosen disciplinary action to the employee, it is
critical to use the opportunity to list any expectations and concerns. The discipline needs to be
utilized as a motivational occasion for encouraging the individual to increase their performance.
There are some guiding principles that can be used to discipline employees. Keeping the
discipline procedure a private matter between management and the individual enables trust to be
built and a professional manner will be maintained. Providing specific examples of the work rule
violations or performance discrepancies for the employee will help to ensure the individual fully
comprehends what issues need to be corrected. Allowing the individual sufficient time to make
comments will help make them feel like they are a part of the solution. This will also help to
insure that all the facts have been gathered. It is important to refrain from interrupting the
employee during this time. In order to help the employee make improvements to their
performance, provide specific recommendations and necessities. Effectively communicate to the
employee what the consequences are if their conduct and/or their performance does not improve.

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There are many different types of punishment. Some types of punishment include verbal
warnings, performance improvement plans, written notice, suspension, demotion, pay
decrease, reassignment, loss of privileges, and termination. Verbal warnings are an
informal method of punishment that notifies employees that they have participated in an
action that could lead to more grave penalties if it is not instantaneously amended. The first
procedure in several progressive disciplinary strategies is to implement a verbal warning.
When implementing a verbal warning the manager or supervisor speaks with the individual
to inform them of the conduct that is conflicting with the organizations expectations, rules,
and/or principles.
Inadequate attendance is one type of circumstance that could be considered a lawful cause for
implementing a verbal warning. Issuing the verbal warning could be the only thing that is
needed to inspire the individual to concentrate on correcting their attendance. The
employee may require more severe punishment if their absenteeism results in missed
deadlines, disrupts the workforce, is consistent, or results in additional work for coworkers.
When conducting a verbal warning the following steps will need to be followed. A time and
place will need to be set to guarantee privacy. Make detailed notations about what needs to
be covered before conducting the meeting. Consider that the individual could have the
right to seek representation. Clearly inform the employee that a verbal warning is being
issued. Be specific when describing the unacceptable behavior or performance issues. The
individual should be provided a clear explanation of the infraction and the reason why it is
in contradiction of the organizations policies. Be sure to maintain concentration on the
infraction instead of the individual. Reiterate the acceptable standards or rules to the
individual. If the satisfactory principles or guidelines are published, offer a copy of them to
the employee. Explain the associated damaging effects and penalties of the individual's
unwanted conduct or performance. If the infraction has caused an inconvenience to the
other workers the employee should be informed. Clearly state the consequences if the
individual fails to demonstrate immediate and sustained improvement. Make a record of
the verbal warning including the date, employees signature, and key elements of
discussion. It is imperative to keep up with a detailed log containing all of this type of
discussions with the workers.
Another type of discipline is to enact a performance improvement plan. Employers with a vested
interest in the employee benefit the most by helping employees improve through a
performance improvement plan, or PIP. Performance improvement plans are thorough
plans that recognize any parts where enhancement may be needed and develops phases that
the individual is required to complete to be given a satisfactory performance score. Many
companies want a performance improvement plan to be implemented when the supervisor
gives a worker a performance appraisal ranking that does not meet or exceed the
satisfactory level of performance. The manager and employee cooperatively create a
performance improvement plan that encompasses reevaluation spots for supervisors to
observe progression and completion. Pending the completion of the performance
improvement plan goals the individual is kept in a stationary configuration.

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You can start this process by having the individual clearly jot down a strategy for how they are
planning to fix the issues. A time limit should be established for the strategy to be
submitted. When the employees strategy is received examine the strategy with the
individual to make sure the strategy is feasible and the individual is genuinely concerned.
If the issue has been reoccurring tardiness, the individual should confirm that they will be
on time and ready to go to work by a specified time. The employee must clearly define this
objective. The employee should be asked if there is something management can do to help
support the development that needs to be inquired. The individual should feel appreciated
even after they have been disciplined. The performance improvement plan should be
signed by both the manager and the employee. Copies of any written document needs to be
reserved in the individuals personal file, given to the employee, and if applicable given to
the union.
Written notice can also be given as an employee disciplinary action. A written notice should
indicate the reasons for discipline, include specific information such as dates, times, and what
occurred, and include the expectations for the employee to fix the behavior and/or performance
issues, and grievance or appeal rights of the employee. Also include an outline of any previous
actions taken to familiarize the individual with the issues. These steps may include performance
appraisals, training sessions, and previously administered discipline measures. Attach the copies
of the documents from previous steps taken to the written notice. Define the influence of the issue
such as possible hazardous problems or the requirement to reallocate duties.
When conceivable, bring an additional member of management in the room to be a witness. The
additional member of management can also take notes from the meeting. The member of
management chosen for this duty shouldnt be involved in the administering the discipline. The
components of this document will be gone through with the individual. The individual needs to be
instructed to look over the document and to sign the document to acknowledge receipt of the letter.
The individual should be asked to review the letter for accurateness. Allow the individual a chance
to make any additions they feel necessary to the paperwork before everyone else signs it. If the
individual declines to sign the written notice, the rejection needs to be notated on the document and
dated with the signature of the issuer of the discipline notification. The written notice should be
signed by both the issuer and the employee. Copies of all written notices should be reserved in
the individuals personnel file, given to the employee, and if applicable given to the union. The
letters of disciplinary action shouldnt be taken out of personnel files except if it is a component
of an arbitrators judgment, a collective bargaining arrangement, or a component of a settlement
agreement.
It is important to try and end the consultation in a positive manner. If it is believed that the
individual can produce a higher quality of work, use this time to express that viewpoint. Bring to
attention a positive trait, and utilize it to help encourage the individual. Keep in mind that all
forms of discipline actions also need to be used for motivating the individual. When workers
leave a discipline consultation feeling let down, exasperated and offended, then the undesirable
behaviors are not likely to progress.

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Some infractions could be severe enough to deserve suspension succeeding the examination.
Letters of suspension without pay can be given to an employee as a disciplinary action and are
protected by the Fair Labor Standards Act (FLSA). The duration of the suspension has to be
suitable for the harshness of the violation. It is important to note that because of the Fair Labor
Standards Act guidelines, a suspension for a worker in general has to be for a full workweek. A
suspension that is administered without pay cannot go beyond thirty days. Suspensions
administered with pay are every now and then used to get rid of an individual from the work
environment until an investigation is completed. A copy of the letter of suspension should be
provided to the individual. An additional copy should be added to the employees personnel file.
Another copy is provided to the personnel officer and if the employee is part of a union then the
union will need a copy as well.
A letter of suspension needs to contain all of the succeeding material. The actual date of the
suspension, the duration of the suspension (recorded in working days), the date the employee is set
to return to work, a written notification of the violation, cited rules and/or policies that were
violated, the specific information concerning the inappropriate behavior issues or performance
issues (time, date, occurrence), statistics concerning what is anticipated for the individual to fix the
behavioral issue and/or inadequate performance, and the employees grievance or appeal rights. The
corporation can conclude that it is essential to provide a final warning as a component of the
discipline suspension letter. This letter needs to include that if the individual participates in the
same types of behaviors or breaks any additional work guidelines that could generally have
disciplinary consequences, termination will take place. A final warning is frequently provided as
the ultimate phase in a progressive disciplinary proceeding. In cases where a prolonged
suspension has been carried out (for a serious regulation violation) management should touch
base with the human resource department before distributing the final warning.
Suspension without pay is also a type of workplace discipline. Managers typically use the
suspension without pay method as a last step before deciding to terminate an employee.
Employee behavior that causes danger the well-being and safety of the other employees is
normally a lawful purpose for suspension without pay. Suspension is considered one of the
cleanest types of disciplinary action because of its on the spot and powerful impression on the
individuals way of life. Orchestrating life devoid of a paycheck allows the individual enough
time to think about the consequence of their actions and concentrate on what they should have
done in a different way to avoid the suspension without pay. Severe disciplinary actions could
also have a overwhelming impression on an individuals capability to contend for advancements
and workplace obligations that call for a past of model performances. Contingent upon the
personnel package the individual goes to, a letter of the intention to suspend may be required,
which allows the individual the ability to petition the action to the next level of management
before the action is applied.
Disciplinary Demotion is also a form of disciplinary action. An individual could be demoted to an
available position as discipline for the lack of ability or unwillingness to carry out the
responsibilities of the higher title. Employees may also be demoted for some occurrences of
misbehavior. For positions protected by collective bargaining agreements, the available position
needs to be first displayed and offered to be filled under the requirements of the related
arrangement.

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It is important to make sure that just cause standards are met. The individual has to meet the least
possible qualifications required for the inferior level job classification, if the job isnt in the same
succession as the occupation level presently obtained by the individual. Demotion is considered a
fundamental discipline action. When considering demotion as the discipline action it should be
discussed with the human resource department before implementation.
The use of demotion as a disciplinary action to move an individual to a inferior level position
could be carried out on a short-term basis or a long-lasting basis. Demotion is most commonly
applicable in circumstances of insufficient performance of accountabilities at a precise level
instead of a desecration of organization guidelines. The written notice must be signed by both the
issuer and the employee. Copies of all written notices need to be reserved in the individuals
personnel file, given to the employee, and if applicable given to the union. Some misbehavior
could result in the determination that the best interest of the corporation would be to laterally
reallocate the individual to an altered workplace or position. This can be implemented as either
as a discipline action or as a component of another disciplinary action for instance suspension.
These actions need to be conversed with the organizations human resource department to insure
that it doesnt disturb the rights of other workers and to also make sure that just cause has been
met.
A decrease of pay within the equivalent pay grade can also be used as a disciplinary action. The
UE/IUP collective bargaining agreement authorizes the decrease of wages for an employee with
less than knowledgeable or insufficient work performance and for defilements of attendance
guidelines. These decreases are often enforced to take the place of a suspension. They are most
often enacted on a temporary basis and should cause roughly around the same dollar loss that
would have occur if the appropriate suspension was implemented instead. Reductions of the
employees pay cannot have an outcome where the individual is being compensated less than what
the minimum wage is currently set at.
This discipline type is often used when management doesnt want to get rid of the individual
from the workplace, but sever disciplinary action is suitable. Reduction of pay is more applicably
utilized in the place of a suspension without pay that would occur in circumstances of continuing
absenteeism or unpunctuality. Just like other disciplinary procedures, it is important to have the
written notice signed by the issuer and the employee. Retain a copy of all written notices in the
individuals personnel file, provide a copy to the employee, give a copy to human resource, and
if applicable give a copy to the union.

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Loss of privileges is another type of disciplinary action that can also be implemented. Some
organizations may offer performance-based substitute job assignments that may contain
opportunities for teleworking or flexible operation schedules. For example, before
teleworking prearrangement can begin the company and individual may come to an
agreement on the standings and circumstances of the position. The individuals capability
to withstand an satisfactory performance standard is more or less continuously
incorporated in the substitute work agreement. In an occurrence where the individual is
incapable of maintaining their expected performance levels, an appropriate type of
disciplinary action would be to withdraw the arrangement and necessitate the individual to
work from the workplace so their supervisor can regularly witness and screen their job
behaviors. The purpose of this kind of disciplinary action is to re-establish organization
and responsibility and to increase the individual's performance to formerly satisfactory
heights.
Letter of Discharge is the final type of punishment. Following the investigation and the lack of
strength of character a discharge is to be expected, the employee should be notified personally
that the expulsion is being deliberated and then be provided the chance to answer back to the
accusations. This is often referred to as the Loudermill meeting. Public workers that can only be
terminated for reason are regarded as having property interests in continuous employment. This
consists of individuals that are protected by the merit system provisions, collective bargaining
agreements, and/or a legislative provision necessitating reason for termination. The Loudermill
meeting isnt a formal hearing to ultimately determination the rightfulness of the discharge. A
official trial to determination the correctness of a discharge would be through a grievance or
arbitration proceeding. In the Loudermill meeting the individual is provided a justification of the
conclusions of the examination and a chance to provide any supplementary evidence that the
individual desires the members of management to contemplate before continuing to the
obligation of the disciplinary action. If the pronouncement remains after this conversation, the
individual will be notified of the disciplinary action in documentation.
Discharge frequently follows former smaller progressive discipline actions. Some situations on
the other hand may warrant instantaneous discharge. Instantaneous discharge means to be
discharged from service upon the conclusion of a reasonable and comprehensive examination
authenticating the suspected wrongdoing. This disciplinary discharge does not need to be headed
by any progressive disciplinary actions. In general, if the reason for termination is not because
of discrimination on these bases, or because of the employee's protected status as a
whistleblower, or because they were involved in a complaint filed under one of the laws enforced
by the Department of Labor (refer to Whistleblower and Non-Retaliation Protections), then the
termination is subject only to any private contract between the employer and employee or a labor
contract between the employer and those covered by the labor contract. (Perez)
The concept of progressive disciplinary actions doesnt necessitate that all the actions described
above be used. It is usually expected that more than one kind be utilized in the effort to correct
the individual's performance deficiencies and/or behavioral issues. This is the reason that
discipline procedures should, on a regular basis be conducted progressively. Managers and
supervisors normally feel exasperated when an individual repetitively fails to execute adequately

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or follow the guidelines. It is important to keep in mind that most individuals arrive at the
workplace with the desire to do a respectable job. Some employees will have need of more
detailed and recurrent feedback than other employees. It is beneficial to comprehend what that
means in a particular workplace sector as well as within the jobsites under the managers
supervision. The rate of recurrence of feedback will mainly be contingent on what is witnessed in
the individual's performance and behavior and on the successions of the job.
Well-written employee handbooks suggest potential disciplinary actions, but allow the employer
latitude depending upon the circumstances of the employee's actions or performance.
(Healthfield) Keep in mind that the purpose of discipline actions is to turn performance issues
and/or behavior issues in the opposite direction by being persistent to recognize complications,
sources, and resolutions. If these types of alterations can be accomplished in a encouraging and
productive way, it will provide a communication to the employees that the company is not out to
chastise them, but is instead out to support the employees in becoming a completely productive
associate of the workplace. This will greatly increase company profitability. Maintaining a
positive and structured work environment will increase retention rates and attract high demand
employees. This will then increase skill levels, quality, productivity, customer service, and
innovation. There will also be a decrease in costs associated with training, interviewing,
advertising for employment opportunities, procedural errors, and lost opportunities.
Healthfield, Susan M. "Use Disciplinary Actions Effectively and Legally." n.d. About.com. 10 Febuaray 2015.
<http://humanresources.about.com/od/discipline/qt/disciplinary-actions.htm>.
Perez, Thomas E. "Termination." n.d. United States Department of Labor. 10 Febuaray 2015.
http://www.dol.gov/dol/topic/termination/