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APPLYING DISCIPLINE IN SEVEN STEPS

Sometimes an employee will need to come close to final disciplinary action before recognising the need to change. When an employee is disciplined as part of a change process, the disciplinary action must always have been described in an earlier stage.

That is to say, the employee must always understand the reason for the action now being taken.

Most managers find it uncomfortable to apply a disciplinary action. A structured approach will help you get through it and in most cases arrive at a positive outcome.

Of course, most people being disciplined will find it uncomfortable as well. The point of the exercise, though, is to turn it into a positive problem-solving interview. Plan ahead for opportunities to use the skill of self-esteem so that you can convey the message: “There are parts of your work which are perfectly fine. It’s just this bit which needs correcting.”

Always check with your HR department the exact format for your organisation’s disciplinary procedure as it must be followed to the letter.

If the disciplinary action involves giving a written document to the person, make sure that this is prepared prior to the meeting. This will help you remember to actually give it.

Please note: After 6^th April 2009 the statutory disciplinary procedure will be repealed and replaced by a set of ACAS guidelines. For further information go to www.direct.gov.uk/en/Employment/index.htm

1. Describe the problem (specific offence, or recap of previous meetings).

2. Probe with empathy into reasons.

3. Take accurate notes and summarise.

4. Explain the reason for the disciplinary action.

5. Administer the disciplinary action.

6. Identify what needs to happen from now on.

7. Express confidence (if not dismissing).

This set of steps can also be used for offences requiring immediate disciplinary action.

All disciplinary interviews should be approached as if the employee's unsatisfactory conduct can be remedied, unless the offence requires dismissal.

To save cluttering the text with “performance/behaviour” the notes below refer only to “behaviour”.

1. Describe the problem (specific offence, or recap of previous meetings).

The purpose of this step is to make clear the scope of this meeting. There is no place in this meeting for discussion of whether the problem exists, so your statement of evidence needs to be specific.

You are not now dealing with the behaviour; you are dealing with the failure to keep an undertaking to change the behaviour. The need for change has already been established at previous meetings.

"In the last three months you have been the subject of four customer complaints.

We have talked twice about this (dates). You explained that you had domestic difficulties which were causing you to be short-tempered. You promised me on both occasions that you could resolve the domestic issue, and would behave politely to customers.

This morning I have received another complaint.

2. Probe with empathy into reasons.

Again, you need to remember that you are not now looking at the reasons for the behaviour. You are looking for additional reasons that the commitment has not been met.

Sometimes you will be given a different set of reasons, and may need to explore these as a separate problem-solving exercise. Use your discretion as to whether to do this now or later in a further meeting.

If you combine the two types of technique into this meeting there is a danger that you will overlook the fact that the prime purpose of this meeting is to administer the disciplinary action.

Some people will become quite combative in this situation:

“It’s not just me. Everybody does it. Why are you picking on me?”

Empathy is the key skill for keeping the meeting on track:

“I can see you feel it’s unfair and that I’m singling you out. If you let me know who else does it I shall treat them the same. At the moment we are discussing your actions, and I need to know the reason you didn’t meet your commitment to me from our last meeting.

3. Take accurate notes and summarise.

New reasons might emerge. At this point the emphasis is mainly on recording those reasons. New reasons still do not justify the behaviour, though they may hold clues to identifying further commitments. It doesn’t matter if the new reasons contradict previous reasons

"So, let me just check that I have got this straight. Is that everything you want to tell me?"

4. Explain the reason for the disciplinary action.

The reason is not the specific recent behaviour; it is the failure to keep to an earlier commitment.

"Last time we spoke I told you that if I had further complaints I would give you a verbal warning. Since you have not kept you commitment to me I am now going to give you a verbal warning."

5. Administer the disciplinary action.

Some managers get a little confused at this point, feeling that the meeting itself is enough to count as a formal warning, particularly if the penalty is a verbal warning.

Use the appropriate phrase from the disciplinary procedure, to avoid any confusion about whether a particular form of words constitutes a verbal warning.

For a written warning use phrases like:

“So I am giving you a written warning now (give the letter) that any further instances of X will be followed by one further written warning, which will be followed by dismissal if it continues. A copy of this letter will be placed in your file”

6. Identify what needs to happen from now on and set a follow up date.

At this point it is legitimate to state your requirements. If the person has suggested possible solutions, and you think they are workable, by all means use these to determine the required behaviour.

“So, I’d like you to do (whatever the action is), and I want no further instances of X. I’d also like you to come and see me on (date, time) to review how you are getting on.”

The fixing of a specific time for the next meeting gives the message that you are continuing with the overall process. If by the next meeting the behaviour has conformed to your requirements then you will use that meeting to reinforce the changed behaviour with praise. If the behaviour has continued, then you use it for the next stage of the disciplinary process, as promised.

7. Express confidence that they can correct the behaviour.

The person will not be feeling a high sense of self-esteem at this point, so your expression of support and confidence is necessary to boost their likelihood of actually making the desired change.

There are good psychological and industrial-relations reasons for doing this. It helps to be seen as supportive.  A purely pragmatic reason is that it is cheaper to change someone’s behaviour than to dismiss them and hire somebody else.

So use an encouraging phrase like:

"I'm sure that you can bring this situation round if you want to" will do the job.

Don’t spoil it by any implied, or actual, negatives such as “I wouldn’t want to have to lose you”.

One final point on disciplinary action. Many employees have a belief that there is a sort of “statute of limitation” covering disciplinary action. In other words they believe that they can commit an offence, take the punishment, and the slate is wiped clean. The disciplinary procedure is not a punishment. It is a procedure for reinforcing the fact that the behaviour is always unacceptable.

Exercise:

You manage a warehouse. Everybody on the warehouse floor is required to wear ear defenders. Staff from the Accounts Department have been using the warehouse as a shortcut to the canteen when it is raining, and not wearing the ear defenders provided.

You have spoken several times to the Accounts Manager who has given a commitment to ensure that her staff comply with the rules.

At your last meeting you said that you would have to deny the Accounts staff access to the warehouse if there were any further infringements of the safety rule.

Today you saw the Accounts Manager in the warehouse without ear defenders. You did not talk to her at the time, but called her secretary to fix a meeting for this afternoon.

Plan how you would conduct the meeting so that you can apply the sanction without causing a major rift between your departments.

Also, consider what further action you might need to take if the problem continues.