How do I Conduct Progressive Discipline?

Like your performance appraisal system, unless your employees see the disciplinary system as fair and equitable, it will cause you more problems than it can cure. Most important, your practice of progressive discipline must keep in mind your employee’s dignity, legal rights, and the union agreement where one exists. The system itself should contain rules that:

  • Are work-related.
  • Require adequate notice of the rules and expectations as well as the consequences of violating the rules.
  • Mandate timely and fair investigation of incidents or charges.
  • Demand substantial evidence that an employee is guilty of an offense.
  • Insist upon equal treatment (characterized by evenhanded application of rules).
  • Specify penalties in proportion to the offense and the work record.

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Many managers place an emphasis on the detection of wrongdoing and the leveling of punishment once an employee is caught. It needn’t be this way. It communicates a lack of trust in employees and a demand for blind obedience and, interestingly enough, it actually encourages willful disobedience of rules and regulations on the part of employees. Employees play a game with their managers when they work in such an environment, becoming covert and sneaky in their behavior. They deliberately plot to break rules to see if they can beat the system and get away with it. That’s not the kind of work environment you want to inspire.

Rather, you want to promote positive discipline. Toward that end, explain the reasons for the rules. Look upon disciplinary action as corrective in the initial stages. It should become punitive only when counseling fails to change behavior. By your words and actions, indicate to your staff that you don’t want to trap anyone. Communicate the limits imposed on your employees and explain that you want to promote reasonable behavior and prevent any unacceptable conduct. You want to promote willing compliance with and obedience to your company’s rules.

Make sure you:

  • Know each employee, his or her record, and the nature and cause of the offense.
  • Are clear about your powers as laid down in your job description.
  • Check on precedents—that is, similar situations in the past and disciplinary action taken—before you discipline.
  • Consider the circumstances surrounding the misconduct.
  • Determine whether it was willful or accidental.
  • Determine whether the employee was aware of the limits placed on his or her conduct.
  • Get the facts.
  • Coordinate your actions with other managers.

Every manager should enforce every policy, rule, standard, and procedure with equal weight and effort. It is better not to have a rule than have a rule that is unenforced or unenforceable.