Disciplinary Process

Purpose of Procedure:

To encourage employees to conduct themselves in accordance with company rules in order to maximize the efficiency, productivity and pleasantness of the work environment; to fairly and consistently manage employee behavior when it is not in accordance with company rules; and to avoid lawsuits.

Recommended Steps in the Process:

  1. Along with top management, create an Administration of Discipline Policy (see sample) and create Company Ethics and Conduct Rules.

  2. Instruct employees on Company Ethics and Conduct Rules. Distribute a summary of the rules to new employees during New Hire Orientation and post the Conduct rules on the company bulletin boards (see Posting Requirements process) and the HR Intranet.

  3. Instruct managers to notify Human Resources of any violation, including serious employee relations problems such as discrimination or harassment, and to obtain guidance from Human Resources on administering a disciplinary action process.

  4. Thoroughly investigate claims of misconduct (See Conducting Investigations process).

  5. Inform Security of any reported or apparent conduct that could be potentially violent, threatening or intimidating, criminal acts, security infractions, or any matter in which Company interests might be placed in jeopardy or adversely affected, such as theft, fraud, accidents, misappropriation of time or materials, sabotage, etc. Security, with the advise of legal counsel, should investigate violations involving possible criminal proceedings.

  6. Provide a verbal warning for minor offenses. Explain to the employee the violation and the corrective action required to fix the problem. If the case is deemed significant enough to warrant it, provide a memorandum for inclusion in the employee's personnel file and document it in the HRIS.

  7. Provide a written warning for serious violations, or when an employee who has been verbally warned for one or more minor offenses repeats them or fails to take corrective action. Initiate a memo stating the facts and corrective action required (see sample form letter). Have the employee sign the personnel file copy of the memo, acknowledging receipt. If he/she refuses, note this on the personnel file copy (date and sign the note). Provide the employee with a copy and place the original in the employee's personnel file. A written warning will remain in effect for one year. Establish a date to review results of the disciplinary action plan. 

    If no violation occurs during that period, the written warning will expire.  If another violation occurs during that period, then move to the next level of progressive discipline as outlined in the policy.

  8. Initiate a temporary suspension when it becomes advisable to remove an employee from the Company premises until a final decision is reached regarding the appropriate action to be taken. Issue a suspension notice stating the facts of the situation. The temporary suspension must be superseded by one or a combination of the following:
    • Documented rationale for taking no further action,
    • Suspension for a definite period,
    • Termination,
    • Other disciplinary action.

  9. If the employee returns from suspension, issue a memo stating the facts and corrective action required.

  10. A demotion is appropriate only when the nature of the offense(s) indicates that the employee cannot be depended on to exercise the degree of latitude or independent judgment inherent with the employee's position. Initiate a memo stating the facts and process the paperwork to reclassify the employee.

  11. Termination is appropriate for major offenses when the nature of the offense, or repeated offenses, make retention of the violator unacceptable. Communicate the termination decision to the employee (See the Involuntary Termination process).

  12. Retain copies of all notes, correspondence, and documentation.

Process Tips:

Human Resources should review all cases in which the proposed disciplinary action is a written reprimand, suspension for a definite period, demotion, or termination, before the final action is taken, to ensure:

  • Compliance with Company policies, state and federal laws, government regulations, and contractual obligations, and
  • Relatively uniform actions for similar infractions.

Discuss with legal counsel any concerns, complications, potential legal problems, or apparent inconsistencies in disciplinary actions.

How HRnetSource™ Can Help:

HRSource™ and SelfSource™ help track and administer the disciplinary process:

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